Compliance Monitoring Officer recruitment

Asset Manager based in London is looking for a Compliance Monitoring Officer to join their team.

To report to the Group Compliance Monitoring Manager and to undertake and report the results of independent risk-based monitoring to all businesses in the group.  To assess those businesses’ adherence with relevant rules, regulations, codes and internal policies and procedures.  The role includes working with the Group Compliance Monitoring team and, where necessary, specialist external compliance monitoring assistance to perform both regular surveillance activities and thematic monitoring reviews in accordance with a structured risk-based compliance monitoring programme.

• To assist in the development and delivery of a robust risk-based compliance monitoring programme and procedures across all regulated businesses in the Group.  This to include on-going and one-off investigations as may be required from time to time.

• In conjunction with the Compliance Monitoring team, collate, analyse and record management information in preparation for undertaking face to face and/or desk based monitoring of all regulated businesses in the Group.

• To undertake face to face and/or desk based monitoring reviews of all businesses in the Group and across all offices in accordance with the risk-based compliance monitoring programme.

• Assist in the preparation of formal reports in accordance with agreed format following completion of face to face and/or desk based monitoring.  In conjunction with other senior members of the compliance team and the Group Compliance Monitoring Manager, assist in the presentation of the report findings in a constructive and professional manner and assist the Group in identifying solutions to monitoring findings.

• Monitoring remedial action arising from monitoring reviews undertaken and report on progress made to complete such action, particularly with regard to unsatisfactory resolution of issues identified.

• To create well documented files to support compliance monitoring activities, findings and remedial action.