Compliance Monitoring Officer recruitment
This position offers a great opportunity to diversify product exposure and monitoring methods. You will be working within the Monitoring Team undertaking audits and reviews across a range of business areas.Successful applicants will need to display the ability to influence at a senior level and make commercially sustainable judgements, while providing the Group Regulatory Risk and Compliance Director with reassurance that risks and issues are appropriately managed.In conjunction with the Compliance Monitoring Manager, you will provide analysis of business areas systems and controls to the Group Read more […]
Compliance Monitoring Officer recruitment
The key responsibilities of the role will include; Helping to maintain and regularly update the compliance risk assessment; Assisting in the planning of the compliance monitoring programme; Managing and coaching Monitoring Assistants; Ensuring monitoring findings are recorded; Reviewing the findings from the compliance monitoring programme. The ideal candidate will have prior compliance monitoring experience and/or internal audit methodologies for relevant products and businesses, and be able to demonstrate strong communication and interpersonal skills as well as the ability to coach effectively. Read more […]
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 Read more […]
Compliance Monitoring Officer recruitment
The Role To support the Head of Compliance in regards to various monitoring activities both desk based and also branch based. Although you would be working in the London office, from time to time you will visit other branches across the UK. The ideal candidate will be from an Asset Management or Wealth background and should have a good understanding or exposure to Discretionary portfolios. This position will involve interaction with Sales Staff, Senior Advisors and Branch Managers of the firm. You would also be involved in providing Compliance review for the firms Portfolios and Clients. Read more […]
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 Read more […]