Senior Compliance Analyst

Job Description

Supporting the integrity of the bank's compliance systems, this role delivers technical and operational services that underpin regulatory controls and conduct risk management. By applying established procedures and leveraging working knowledge of compliance frameworks, the role identifies and resolves routine compliance issues, escalating exceptions to management as required. Outputs from this position ensure the accuracy and reliability of compliance data, enabling the business to meet regulatory obligations and internal standards. Engagement is primarily within the compliance team and with direct business stakeholders, ensuring timely communication and resolution of BAU matters.

Requires at least 2 years of experience in compliance operations or regulatory controls within banking or financial services, with exposure to compliance monitoring systems and data validation processes.

Key Responsibilities:

• Regulatory compliance assurance through accurate data validation and control execution
• Conduct risk mitigation through monitoring of system-generated alerts
• Operational efficiency in compliance systems maintenance and user support
• Process improvement and knowledge sharing within the compliance team
  
  

ResponsibilitiesPerformance Measures:Performance Measures:Performance Measures:Performance Measures:

• Regulatory compliance assurance through accurate data validation and control execution
• Validate compliance data inputs in core systems to ensure alignment with regulatory reporting requirements.
• Execute established control checks to detect anomalies or gaps in compliance processes.
• Escalate identified discrepancies or potential breaches to the Assistant Manager for further investigation.
• Document validation outcomes and maintain audit trails in accordance with compliance protocols.
• Accuracy of compliance data submitted for regulatory reporting
• Timeliness of escalation and resolution of detected anomalies
• Completeness of audit documentation supporting control execution
• Conduct risk mitigation through monitoring of system-generated alerts
• Review daily system alerts related to suspicious transactions or conduct risk indicators.
• Apply predefined criteria to assess the relevance and severity of flagged activities.
• Initiate follow-up actions or escalate cases that require further review by compliance management.
• Maintain detailed records of alert dispositions and actions taken for audit and regulatory review.
• Effectiveness of conduct risk identification through alert monitoring
• Consistency in applying escalation protocols for high-risk cases
• Quality of documentation supporting alert disposition decisions
• Operational efficiency in compliance systems maintenance and user support
• Perform scheduled system checks to confirm operational readiness of compliance platforms.
• Respond to user queries on compliance system functionality, providing guidance within defined procedures.
• Log and track system issues, coordinating with IT or vendors for timely resolution.
• Support periodic user access reviews to ensure appropriate system entitlements.
• Responsiveness to user support requests and issue resolution
• Uptime and reliability of compliance systems under direct control
• Accuracy of user access records and entitlement reviews
• Process improvement and knowledge sharing within the compliance team
• Identify recurring process bottlenecks or inefficiencies in compliance workflows.
• Contribute suggestions for procedural enhancements to improve control effectiveness.
• Share updates on regulatory changes or system enhancements with team members.
• Participate in team knowledge sessions to foster best practice adoption.
• Frequency and impact of process improvement suggestions adopted
• Level of team awareness on updated compliance procedures
• Engagement in knowledge sharing and training initiatives
  
  

Qualifications

• Bachelor's degree in Finance, Business, Law, or related field
• Certification in Compliance (e.g., ICA Certificate or equivalent) preferred
• Ongoing professional development in regulatory compliance