Compliance Monitoring Specialist

Page Personnel Finance
London, UK
16 Sep 2019
22 Sep 2019
Contract Type
Full Time
Compliance Monitoring Specialist position that has huge room for progression.

Call monitoring and control testing are the two largest elements of this role and so prior experience of this area within compliance is essential.

Must understand the concept and benefit of Treating Customers Fairly in practice as this is a huge element of the role and the direction the compliance team is moving in.

Client Details

The client is a rapidly growing currency exchange brokerage based in Canary Wharf. They are looking to build out their compliance monitoring team to assist the front office continue on their current rate of growth.

They have a strong culture of compliance and are looking for someone to come in that will be comfortable dealing with the front office and occasionally challenging any queries their monitoring might flag.

  • Support the delivery of a risk-based compliance monitoring plan;
  • Deliver timely compliance monitoring reviews, demonstrating adherence with the Firm's compliance policies and procedures;
  • Perform call listening activities with a strong focus on compliance with Treating Customers Fairly;
  • Preparing detailed and clear reports of findings arising from monitoring reviews, working with key stakeholders to assist with the development of remediation plans;
  • Monitoring and reporting on the status of implementation of remedial actions;
  • Providing appropriate reports or information to the Head of Compliance and assisting with the preparation of any reports or papers as required;
  • Periodic testing, review and approval of financial promotions;
  • Promote a culture of compliance throughout the business;
  • Assisting with regulatory returns;
  • Contributing to the development of policies and procedures by identifying areas of weakness and making suggestions for improvement;
  • Remaining abreast of regulatory and legislative developments.

  • Demonstrable understanding of FCA regulations which impact the Firm;
  • Strong knowledge of recent regulatory developments within Compliance;
  • Appreciation and ability to interpret regulation and legislation;
  • Previous experience performing call monitoring/listening activities.
  • Excellent verbal, written and presentation skills with the ability to clearly communicate regulatory information;
  • Analytical and problem-solving skills, with the ability to produce work within set timescales;
  • Attention to detail;
  • Strong IT skills and proficiency in Excel.

Job Offer

Up to £40,000 per annum

Contributory Pension Scheme

Gym Membership

Annual Payment Reviews

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