Assistant Compliance Monitoring Manager / Private Banking recruitment
Our client, a Global Financial Institution is looking for a compliance risk reviews officer to help plan and execute the compliance monitoring plan which oversees the Private Banking business. The individual would support the Compliance function in identifying and mitigating risks across the Private Banking business and help promote a proactive compliance culture within the firm.
Duties Include:
• Prepare compliance risk assessments involving active participation from senior management.
• Carry out preparation and fieldwork in respect of monitoring and review work.
• Assist in executing the compliance monitoring plan in line with key stakeholder’s input.
• Manage the compliance advisory teams’ input to the monitoring and review process.
• Agree reports of monitoring and review work with the Head of Compliance and the business.
• Prepare reports to for key stakeholders on the outcome of monitoring and review work.
• Track and follow-up findings and actions identified as a result of monitoring and review work.
• Identify and recommend the appropriate level of monitoring resource with the Head of Compliance.
• Report progress against plan to the Compliance Manager
• Lead and/or assist in ad hoc regulatory projects
The preferred candidate will ideally have a private banking, wealth management or asset management background and demonstrate a strong understanding of private client business. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.