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Compliance Monitoring Associate - Trading Platform

  • Location: London
  • Salary: £50,000 - £65,000 per year
  • Job Type:Permanent

Posted 6 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email: emanson@merje.com
  • Contact Phone: 0203 637 1601
  • Expiry Date: 05 August 2024
  • Job Ref: EM/11856

MERJE are currently supporting a fast growing trading platform in their search for a Compliance Monitoring specialist in London.

  • Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
  • Identify any gaps or weaknesses in the Plan and propose remedial actions.
  • Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process.
  • Document the findings, recommended actions and management responses together with agreed timescales and action owners.
  • Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager,
  • Track business unit actions to mitigate risk and support continuous improvement across the business.
  • Support the wider compliance team with ad hoc tasks as required.

Experience/Skills/Qualifications:

  • Minimum 2 years of relevant Compliance Monitoring experience ideally gained within a stockbroking/trading environment
  • Good interpersonal skills and ability to interact with people at all levels
  • Strong drafting and report writing skills
  • Ability to work on multiple projects simultaneously
  • Work collaboratively with all business areas as well as building strong relationships with key business partners;
  • Able to work both independently and as part of a small cohesive team;

Applicants must be located and eligible to work in the UK without sponsorship.

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