ASSET MANAGEMENT MONITORING OFFICER - MONITORING EXPERIENCE (BUY/SELL SIDE OR BANKING) REQUIRED

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Job description

• Contributing to the development and execution of the annual Compliance Monitoring Programme ('CMP'), testing compliance against FCA, PRA, SEC and other EU regulators (as applicable to the expansion of the business).
• Conducting second line of defence monitoring reviews as detailed within the CMP, including the scoping, planning, testing and reporting.
• Liasing with stakeholders for each review allocated in order to facilitate the necessary access to people, systems and records to enable testing to be conducted in a timely manner.
• Discussing with the business where actions are required to enhance processes, procedures, practices and controls to ensure the firm remains compliant.
• Review surveillance output, including conducting surveillance analysis of trading activity, e-comms and voice.
• Prepare regular, timely, relevant and concise reporting on the findings for management and relevant oversight committees.
• Monitor actions arising from the compliance monitoring activities to their conclusion, ensuring that the business has taken all action required of them to mitigate further issues.
• Identify and escalate any significant regulatory issues to the Compliance Manager.
• Assisting in the development and maintenance of Compliance desktop procedures.
• Supporting the wider compliance team and undertake ad hoc projects as required.

The candidate will likely have gained up to 5 years in a similar in house compliance or else consulting role with some previous experience of conducting monitoring activities and should be able to demonstrate a comprehensive understanding of regulatory and/or compliance matters. NB The firm is very progressive and offers a hybrid model if desired, hence can be based 3 days at home (or less, but shorter days in the office if helps with childcare etc).

For more information about this role please send your details to David Crook at (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.