Compliance Monitoring

1 week ago

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

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