Compliance Monitoring Officer

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  • Salary:

    upto £40,000 + benefits

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  • Published:

    over 2 years ago

My client is a very prestigious organisation and a leader in its chosen field.

They are looking to recruit an individual to provide business monitoring support to the Compliance department and contribute towards the efficient running of the team.

Key Accountabilities:

  • Responsbile for effective time management of monitoring reviews which are allocated whilst ensuring work is completed to a high standard.
  • Engage with stakeholders and outline the proposed scope of the monitoring review together with a close down meeting (with Compliance management assistance) once the work is completed and a final report produced
  • Develop and maintain own technical skills and proactively develop the skills and knowledge of the business and the regulatory environment in which the business operates.
  • To assist the management of the Compliance function to develop systems of working which are in support of the business strategy with the firm, and assist management of the business by identifying, measuring and a managing risks which may give rise to regulatory concern

Key Requirements:       

  • Previous expereince in a compliance role which has involved monitoring against or analysing FCA requirements, preferably within the investment management industry
  • Prior knowledge/expereince of specific FCA sourcebooks such as MAR, COBS, CASS, MCOB, CONC
  • Strong IT skills including Microsoft Excel and Word
  • An awareness of and the ability to review and interpret regulations, specifically FCA
  • Inquisitive and analytical mind-set
  • Ability to interact at senior levels within the company