Compliance Officer – Monitoring and Testing recruitment
Design, execute and report specific end to end reviews on specified EMEA Wealth Management processes. Assist with routine compliance monitoring and testing. Contribute to ongoing enhancements of the monitoring and testing processes. Support the compliance team with ad hoc review requirements as they arise.
Ability to elicit information through questioning and observation as well as from documentation;
Design of efficient and effective testing programmes including quick identification of key controls
Can work on own initiative
Confident and decisive
Excellent verbal communicator
Good written reports and record keeping
Flexible, able to manage multiple priorities simultaneously
Ability to identify trends in results and think laterally
Team player
MS Office: Excel and Word
Experience in designing, executing and reporting internal audits or similar in a financial services environment
Sound knowledge and experience of wealth management advisory business
Working knowledge of structured products
Knowledge of:
FSA current approach to structured products and TCF
FSA conduct of business requirements
FSA Product Intervention Initiative
If you would like to apply for the role of Compliance Officer - Monitoring and Testing or find out more, please apply online or contact Ben Temple-Mills at Robert Walters on ben.temple-mills@robertwalters.com or call +44(0) 207509 8344 quoting the reference 1661210.
