- Compliance Monitoring
- Fast growing listed business in Financial Services
About Our Client
Our client is a fast paced financial services firm. Now operating across multiple overseas jurisdictions, and servicing select clients in over 40 countries, the opportunity for career growth and development is greater than ever before.
The aim of Compliance Monitoring is to drive value to the business through maintaining a high standard of regulatory compliance with effective risk management
* Develop and strengthen the Compliance Monitoring Programme to identify and conduct, on a risk-based approach, strategically important areas of testing
* Design appropriate and scaleable assessment and testing criteria
* Responsible for carrying out monitoring reviews (both thematic and focused) to determine whether key business processes and controls are designed and operating effectively to ensure compliance with key regulations and legislation
* Responsible for appropriate follow up activity with key business stakeholders to ensure effective closure of actions.
* Investigate and escalate breaches and undertake root cause analysis with recommendations for breach resolutions.
* Provide detailed input to the monthly Risk Committee report detailing the status of monitoring, issues identified and remedial action recommended
* Conduct ongoing reviews of the compliance onboarding and monitoring teams
* Design and produce clear and comprehensive MI which can be used to drive business decisions
* Implementation of thematic reviews to target specific business areas
The Successful Applicant
- Experience in applying second line assurance frameworks across a compliance department
- Good level of knowledge of UK regulatory requirements covering topics such as TCF, FX trade execution, Best Execution, and Financial Promotions
- Excellent proficiency with Microsoft Excel
What's on Offer