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Compliance Monitoring Officer

  • Location: London
  • Salary: £60,000
  • Job type: Contract/Temp
  • Job reference: PWH/169875
  • Sector: Asset Management/Funds , Interim
Job Description

Our client is a well-known investment management firm, looking to recruit a compliance officer for a 6mth monitoring contract (interim role).  This role is being recruited on a fixed-term contract basis.  

 

You will carry out timely and accurate risk-based monitoring activities, in line with the Compliance Monitoring programme, company policies / procedures and regulatory requirements; escalating matters to the Compliance Monitoring Manager as required.

 

Key responsibilities:

  • Responsible for the delivery of high quality Compliance monitoring activities across the business.  Activities include regular testing, thematic and ad-hoc reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes.
  • Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
  • Consult with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively.
  • Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI and KPI information, as appropriate.
  • Undertake testing; recording monitoring testing, findings and agreed actions using the compliance monitoring workflow tool

 

You should have experience contributing to the delivery of risk-based compliance monitoring plans and a good knowledge of asset management focussed regulations.     

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