The role holder will be responsible for working in a small and friendly team in the Compliance Department to manage and execute the Annual Monitoring Program and duties will include:
- Planning, scoping and executing complex thematic reviews
- Sample testing
- Updating Risk and Control Frameworks
- Detailed reporting around regualtory issues arising from reviews
- Training staff around new regulations/procedures
We are keen to speak to Compliance professionals with Monitoring/Reviews experience from any type of Financial Services background including Banking, Asset Management, Wealth, Broking or Big 4 who are keen to grow their career in an expanding FS business.