Monitoring and Surveillance Officer recruitment
An urgent and exciting opportunity has arisen for a Compliance Monitoring and Surveillance Officer, to work for a top tier investment bank.
You will be responsible for writing monitoring test programmes, undertaking monitoring and surveillance tasks in accordance with agreed plan, providing day-to-day assistance and supporting the Compliance Monitoring team through mentoring and coaching and preparing Monitoring MI for Head of Compliance.
Responsibilities include:
- Writing Monitoring test programmes.
- Undertaking Monitoring and Surveillance tasks in accordance with the agreed plan.
- Providing day-to-day assistance and supporting the Compliance Monitoring team through mentoring and coaching.
- Preparing Monitoring MI for Head of Compliance.
- Undertaking practical risk based monitoring/writing Compliance Monitoring Reports, using knowledge of FSA COBS 11/MiFID European Directives and current legislation.
- Providing training/coaching/mentoring relating to the delivery of a Risk Based Monitoring Programme.
Skills and Experience:
- Experience as a Compliance Monitoring and Surveillance Officer within a private client investment business is highly desirable.
- Knowledge of AML/FSA COBS 11/MiFID/European Directives and current legislation is beneficial.
- Strong analytical, organisational and management skills are 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 theUK.
Please contact: ycush@morganmckinley.co.uk or call: 02070920206.