Compliance Analyst, Finance & Banking

Role Summary The Compliance Analyst is a newly created role within the Internal Audit team, with a specific brief to assess compliance across the firm, focused primarily on financial compliance. The role will undertake targeted compliance reviews, recurring monitoring and data-driven testing to identify areas of non-compliance, control weakness and reporting improvement.

The firm is seeking an individual who will bring energy, curiosity and new ideas to compliance monitoring, helping to modernise the use of data, analytics, reporting and technology-enabled assurance across the Internal Audit function.

The position will support the development of a stronger, more consistent compliance monitoring framework across key financial processes, working closely with Internal Audit colleagues and with stakeholders in Finance, Financial Systems, Data, the Legal Department and Financial reporting teams. The role will help improve the quality, consistency and usefulness of reporting, including the development of dashboards, exception reporting and management information.

Initial areas of focus are expected to include travel and expenses, billing and write-off authorisations, payment authorisations, banking authorisations and access, and controls over systems access, including the timely removal or amendment of access for leavers and movers. The role may also support assessment of matter management compliance, including Client Due Diligence, engagement letters and sanctions compliance, as well as anti-bribery and corruption compliance relating to gifts and hospitality.

The successful candidate will be analytical, detail-oriented and comfortable working across teams to understand processes, test compliance and explain findings clearly. The role requires a practical, collaborative and improvement-focused approach, while maintaining the independence and objectivity expected of Internal Audit.

The position will be based primarily in the firm's Manchester office.
There may be periodic need to travel to London office but this role is not expected to entail significant travel.

Key responsibilities

Plan and deliver targeted compliance reviews and monitoring activities focused on financial compliance risks across the firm.

Assess compliance with policies, procedures and approval requirements in areas such as travel and expenses, billing, write-off authorisations, payment approvals and banking authorisations.

Perform data analysis and exception testing to identify non-compliance, control gaps, trends and emerging risk areas

Develop and enhance data-driven compliance monitoring techniques, leveraging analytics and automation to improve coverage, efficiency and insight

Perform periodic user access reviews across key systems, assessing the appropriateness of access rights, segregation of duties and privileged access arrangements

Support the assessment of information security and data protection controls, including compliance with policies governing confidential client information, personal data and other sensitive firm information

Identify opportunities to strengthen compliance oversight through improved use of data, technology, dashboards and automated exception reporting.

Coordinate improvements in compliance reporting, working with Financial Systems, Data and other reporting teams to improve the quality, consistency and usability of management information.

Assess selected matter management compliance activities, which may include Client Due Diligence, engagement letters and sanctions compliance.

Review anti-bribery and corruption compliance relating to gifts and hospitality, including adherence to policy requirements and approval processes.

Document findings, root causes, recommendations and agreed actions in a clear, concise and evidence-based manner.  Track and validate remediation actions arising from compliance reviews working with internal auditors where a process or control improvement is recommended.

Build constructive working relationships with Finance, the Legal Department, Financial Systems, Data and business stakeholders across the firm.

Support wider Internal Audit assignments, advisory work and ad hoc reviews where compliance testing or financial control insight is required.

Key requirements (Communication/skills/experience)
Prior experience in either compliance, financial analysis, internal audit, finance assurance, financial controls testing or a related discipline, ideally within a professional services firm, large corporate environment, public practice or similar organisation.

Experience with data analytics, including strong excel skills, and knowledge of management information reporting.

Strong analytical and problem-solving skills, with confidence in reviewing large volumes of data, identifying exceptions and investigating root causes.

Excellent written and verbal communication skills, with the ability to explain findings clearly and engage constructively with stakeholders at different levels.

Strong attention to detail and high levels…