Compliance Monitoring Officer recruitment
An exciting opportunity has arisen for a Compliance Monitoring Officer to work within work for a top tier investment bank.
You will be responsible for ensuring that Compliance monitoring activities are carried out to confirm that business is conducted in accordance with all applicable internal policies and procedures, laws, rules, regulations and codes of practice.
Responsibilities include:
- Helping to maintain and regularly update the compliance risk assessment.
- Planning a compliance monitoring programme on the basis of the risk assessment.
- Overseeing and participating in the execution of the compliance monitoring programme.
- Ensuring adequate liaison with the business and CAS in respect of the compliance monitoring programme.
- Developing and maintaining procedures for the compliance monitoring programme.
- Producing management reports about the progress of and findings from the compliance monitoring programme.
- Ensuring the findings from the compliance monitoring programme are recorded and followed-up in a timely manner.
- Reviewing the findings from the compliance monitoring programme on a regular basis and making recommendations about necessary improvements to policies, procedures, practices, training, business tracking and monitoring.
- Updating the compliance monitoring programme for changes to the business, to policies, procedures and practices and to the compliance risk assessment.
- Remaining fully conversant with applicableUKand overseas regulations and regulatory developments.
- Performing other related tasks and responsibilities as agreed.
Skills and Experience:
- Experience and understanding of compliance monitoring for relevant products and businesses is desirable.
- Knowledge of applicable laws rules regulations and codes of practice, and a good understanding of current and anticipatedUK/relevant EU regulations are desirable.
- A confident and diplomatic manner, with strength of character and tenacity to follow up any concerns is advantageous.
To apply for this role you will need to possess the relevant experiences listed above.
This is a fantastic opportunity to work for a leading investment bank.
To apply for the role you must be eligible to work in the UK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.
December 13, 2011
• Tags: Compliance Monitoring Officer recruitment, Investment Banking, M & A careers in the UK • Posted in: Financial