Compliance Monitoring

4 weeks ago

City of London Greater London, United Kingdom Bruin Full time

Join a Leading Private Bank as a Compliance Monitoring Officer Ready to apply Before you do, make sure to read all the details pertaining to this job in the description below. FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or Manchester office who is highly proficient in French or German Purpose of the Job: As a Compliance Monitoring Officer at this firm, you'll play a crucial role in ensuring compliance with regulatory and legal obligations. You'll contribute to the compliance monitoring program by conducting tests, maintaining thorough record-keeping, and supporting the closure of any compliance gaps identified. Key Accountabilities:

  • Conduct defined monitoring tests to assess compliance with regulatory requirements.
  • Deliver compliance tests according to schedule and maintain meticulous record-keeping.
  • Engage with business units pre and post-testing to verify completion of necessary actions.
  • Contribute to the evolution and design of testing sheets under the direction of your manager.
  • Perform continuous gap analysis of the compliance monitoring program scope.
  • Support compliance reporting activities, including notifications to regulatory bodies and internal management reporting.
  • Conduct yourself with professionalism and integrity, maintaining independence within the second line of defense.
Knowledge And Experience:
  • Good working knowledge of regulatory and legal requirements in banking activities.
  • Experience in delivering regulatory change within a financial firm.
  • Understanding of outcomes-based regulatory compliance work.
  • Familiarity with the Three Lines of Defense (3LOD) model.
Attributes and Qualities:
  • Effective communication and engagement skills.
  • Ability to interpret regulatory text and apply it practically.
  • Strong business writing skills, with the ability to summarize findings clearly.
  • Proficient in root cause analysis and creating effective actions.
  • Excellent record-keeping and work management abilities.
  • Commitment to honesty, integrity, and ongoing professional development.#
Technical Skills:
  • Excellent written, verbal, numeric, and comprehension skills.
  • Proficiency in IT.
  • Relevant qualifications from industry bodies or educational institutions.
Language Skills: • High proficiency in French or German is required

  • Compliance Monitoring Manager

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London. THE RESPONSIBILITIES: Drive compliance oversight through the testing and monitoring programme Identify areas for enhancements of systems and controls operated by the...

  • Compliance Monitoring Officer

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for carrying out monitoring reviews to determine whether key...

  • Compliance Officer Monitoring

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Officer Monitoring

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Officer Monitoring

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Officer Monitoring

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Compliance Officer Monitoring

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...

  • Senior Compliance Monitoring

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...

  • Senior Compliance Monitoring

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...

  • Senior Compliance Monitoring

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...

  • Senior Compliance Monitoring

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...

  • Compliance Monitoring and Testing Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Assist with scoping, implementing and managing second line testing Follow-up management's implementation...

  • Compliance Monitoring and Testing Associate

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Assist with scoping, implementing and managing second line testing Follow-up management's implementation...

  • Senior Compliance Monitoring

    19 hours ago

    Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Job Description Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and...

  • Senior Compliance Monitoring

    1 month ago

    Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...

  • Senior Compliance Monitoring

    1 month ago

    Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Our client is seeking a Head of Risk & Compliance to join their business. In this broad and exciting role, you will be responsible for ensuring that the firm complies with all relevant legislation and regulations, managing risks to the business, and monitoring the firm’s professional standards. Spearheading the development and implementation of the...