Compliance Monitoring Assistant
About the role
- Performance of Compliance Monitoring Programme (including testing, report production and ensuring completion of any necessary corrective action)
- Provide support as required with regulator visits
- Assist in reviewing regulatory developments when required
- Approval of marketing material
- Provision of compliance advice to the business in the absence of other members of the Compliance/Legal team.
What we are looking for
The right candidate will have previous experience in conducting monitoring activity in particular within an investment management firm, investment bank or law firm.
The candidate ideally has working knowledge of equity, good experience of FCA Regulations as well as the ability to interpret regulatory requirements.
Leave a Reply
You must be logged in to post a comment.