Compliance Monitoring Officer

Recruiter
Flair 4 Recruitment Limited
Location
Bristol, UK
Salary
Competitive
Posted
15 Oct 2019
Closes
22 Oct 2019
Ref
1258983122
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
A multi-award winning discretionary fund management firm is looking for a Compliance Monitoring Officer to join their team in Bristol.

You will be responsible for providing assurance to the business that its regulatory requirements are met and also suggesting areas for improvement. The role will suit an individual with previous relevant experience or alternatively someone looking to work within this field with an energy and enthusiasm to learn.

You will:
  • Conduct Compliance Monitoring reviews to confirm the business is complying with relevant regulatory and statutory requirements, specifically those detailed in FCA handbooks
  • Provide written reports on the outputs of reviews to relevant senior management, presenting conclusions to key stakeholders
  • Assist in the development and maintenance of the CMP
  • Identify and escalate risks on a timely basis with the appropriate details to permit risk assessment
  • Keep up to date with changes to regulatory requirements, new legislation and codes of practice
  • Receive and respond to queries via telephone and email, from other areas of the business, on compliance matters
  • Provide compliance advice to projects, including proposition developments and other business change
  • Assist the Head of Compliance Monitoring to foster a compliance culture across the first line functions in the firm
  • Prepare reports for the Executive Board and Risk Committee
  • Represent the Compliance function at key governance committees and external events/conferences, as required.
  • Ensure the Compliance Manual, and Compliance owned policies are up to date and accurate and reviewed annually within target
Skills and experience:
  • You will have achieved or be studying or willing to study for Compliance qualifications.
  • You will have experience of first or second line risk & compliance oversight activity, preferably in an investment management / product & services development environment, to direct appropriate and proportionate risk and compliance activities across the Group
  • You will have a strong understanding of the fundamental principles of investment management and the financial markets
  • You will have the ability to influence at a senior executive level in the organisation, with enthusiasm
  • You will have the energy and tenacity to promote the role of second line assurance activity across the Company.
  • You will have strong interpersonal and motivational skills required
  • You will have a working knowledge of IT systems and platforms that are required to discharge the duties of the role as set out in this description
About the firm:
  • A leading provider of personalised investment management
  • A firm that is proud of what they do and how they do it
  • A growing and evolving business which encourages employees to take an active role in that progression
If this sounds like you, get in touch for more information on how to apply.

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