£40,000 - £45,000 + benefits
8 months ago
My client is a long established and highly regarded financial services organisation.
An exceptional opportunity has arisen for an experienced Compliance Consultant with experience of providing second line assurance through the delivery of a firms’ Compliance Monitoring Plan
This role delivers an assigned programme of testing and monitoring activity across a range of regulatory handbooks; engaging with front and back office departments to ensure the firm can demonstrate it remains compliant with its regulatory obligations, delivering suitable and appropriate outcomes for clients.
- To carry out compliance monitoring of the functions carried out in front and back office departments against relevant rules and regulations applicable to the Group, including COBs, CASS and SYSC
- To actively manage and verify all actions being delivered by the business as a result of the compliance monitoring activity undertaken
- To undertake daily monitoring activity of trade as part of ongoing market abuse monitoring.
- Understanding of suitability, client money and general principles of an effective banking control framework.
- Familiarity with COBs, CASS and SYSC
- Ability to take a section of regulation and design, then deliver testing against the rules and expectations.
- Experience of providing 2nd line assurance work against regulatory rules and regulation
Salary range is broad and will be commensurate with experience but will reflect the significance of the role.