Compliance Monitoring Officer

Search Consultancy
08 Feb 2018
16 Feb 2018
Contract Type
Full Time

Compliance Monitoring Officer
£45-55K + package

The Compliance Monitoring Officer will be responsible for undertaking Risk & Compliance monitoring reviews with a specific specialism; whilst assisting with the development and maintenance of the Compliance Monitoring Plan. The role will be required to support the Compliance team and work closely with the Audit and Risk functions, continually building relationships within and outside of the business. The recommendations, based on the findings will be effectively implemented and information is regularly updated to the management team.

Key Responsibilities:
* Assist in preparing the compliance monitoring plan
* Work to the compliance monitoring plan, undertaking reviews, identifying risks, remedial actions and recommendations and follow up actions
* Assist the team head to manage regulatory risk, including risk identification, assessment, mitigation, control and monitoring.
* Production of accurate and timely reports in respect of compliance assurance activity.
* Production of accurate and timely monthly reports regarding activity and issues to the Head of Compliance
* Provision of feedback to senior management, investment managers and associates
* Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team

Skills and Qualifications:
* Excellent written and verbal communication skills;
* Time management skills;
* Ability to work with a good degree of autonomy individually, and as part of a team;
* Compliance monitoring skills;
* Ability to influence at all levels; good judgement and decision making skills;
* Commercially aware and able to apply a risk-based approach;
* Coaching and training skills; strong analytical and numerical skills.
* Competent using Microsoft packages such as Word, Excel and Outlook; excellent knowledge of FCA Rules; experience in a compliance role within an asset/wealth manager, particularly that of compliance monitoring, internal audit or internal control; strong knowledge of the FCA regulations, in particular SYSC, CASS, COBS and CIS; Up to date CPD.

* Degree holder preferable; CFA/IMC, Compliance Diploma

If interested in the role then please apply or send a CV to

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.

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