Job Title:
Compliance Monitoring Officer Location:
Hybrid - Remote/London Department:
Compliance & Risk Reports To:
Head of Compliance & Risk Rate:
Up to £420pd Inside IR35 Contract:
Initial 6 months with extension likely Start Date:
End of March/Start of April
Role Overview: We are seeking a Compliance Monitoring Specialist to deliver our annual risk-based Compliance Monitoring Plan. The successful candidate will coordinate control testing and themed reviews, liaise with IT for exception reports, and provide assurance to Senior Management on compliance with policies and procedures.
Key Responsibilities:
Deliver the annual risk-based Compliance Monitoring Plan. Coordinate control testing and themed reviews to ensure compliance with policies and good client outcomes. Liaise with IT to develop exception reports for control testing and monitoring. Apply specific knowledge of compliance monitoring related to Best Execution and Market Abuse. Provide management information to the Head of Compliance & Risk and other governing bodies. Maintain documented and effective compliance monitoring procedures. Incorporate Consumer Duty requirements into compliance monitoring to ensure positive consumer outcomes. Promote and support diversity and inclusion in line with the FCA's regulatory framework.
Skills and Qualifications:
Experience in compliance monitoring and testing within the financial services industry. Strong understanding of regulatory requirements, compliance risks, and controls. Expertise in developing risk-based monitoring plans and testing methodologies. Excellent analytical and critical thinking skills to identify gaps and issues. Keen attention to detail and adherence to procedures. Proficiency in data analysis, reporting tools, and exception monitoring. Ability to interpret regulations and translate them into actionable monitoring steps. Effective communication skills for reporting findings and recommendations. Collaborative approach to working with cross-functional teams. Ideally achieved or working towards relevant CISI/CII qualification or equivalent.
Experience in a similar position within an Asset/Investment Manager will make your candidacy stronger.
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Compliance Monitoring Officer Location:
Hybrid - Remote/London Department:
Compliance & Risk Reports To:
Head of Compliance & Risk Rate:
Up to £420pd Inside IR35 Contract:
Initial 6 months with extension likely Start Date:
End of March/Start of April
Role Overview: We are seeking a Compliance Monitoring Specialist to deliver our annual risk-based Compliance Monitoring Plan. The successful candidate will coordinate control testing and themed reviews, liaise with IT for exception reports, and provide assurance to Senior Management on compliance with policies and procedures.
Key Responsibilities:
Deliver the annual risk-based Compliance Monitoring Plan. Coordinate control testing and themed reviews to ensure compliance with policies and good client outcomes. Liaise with IT to develop exception reports for control testing and monitoring. Apply specific knowledge of compliance monitoring related to Best Execution and Market Abuse. Provide management information to the Head of Compliance & Risk and other governing bodies. Maintain documented and effective compliance monitoring procedures. Incorporate Consumer Duty requirements into compliance monitoring to ensure positive consumer outcomes. Promote and support diversity and inclusion in line with the FCA's regulatory framework.
Skills and Qualifications:
Experience in compliance monitoring and testing within the financial services industry. Strong understanding of regulatory requirements, compliance risks, and controls. Expertise in developing risk-based monitoring plans and testing methodologies. Excellent analytical and critical thinking skills to identify gaps and issues. Keen attention to detail and adherence to procedures. Proficiency in data analysis, reporting tools, and exception monitoring. Ability to interpret regulations and translate them into actionable monitoring steps. Effective communication skills for reporting findings and recommendations. Collaborative approach to working with cross-functional teams. Ideally achieved or working towards relevant CISI/CII qualification or equivalent.
Experience in a similar position within an Asset/Investment Manager will make your candidacy stronger.
#J-18808-Ljbffr
