Compliance Monitoring Associate

1 week ago

London Area, United Kingdom Fidarsi Full time

Fidarsi are delighted to be partnering with a Global Investment Manager based in Central London, who are recruiting for a Compliance Monitoring Associate.


The role will support the Compliance Manager and ensure the firm meets its regulatory obligations. To work as part of the Second Line of Defence (2LoD) Compliance Monitoring team, assisting with all aspects of Compliance.


Duties will include (but are not limited to):


  • Cooperatively working as part of an experienced and diverse Compliance department.
  • To work as a key member of the 2LoD, alongside the Risk Management team, and collaboratively with the First Line of Defence (1LoD) whilst maintaining independence.
  • Performance of regular 2LoD monitoring reviews and testing across a broad range of regulatory topics such as suitability, consumer duty, best execution, transaction reporting, CASS and conflicts of interest. Reporting of concerns, issues and other findings accordingly.
  • Escalating any potential risks identified to the Compliance Manager and Head of Group Compliance.
  • Additional monitoring activities to include departmental thematic and desk-based reviews including writing reports.
  • Formulating actions and engaging with stakeholders to track the recommendations to their resolution.
  • Incident management including impact assessments, root cause analysis and agreeing future actions to avoid recurrence.
  • Attend and contribute to team and inter-departmental meetings.
  • Develop and maintain key records and documents. This may include policies, procedures, reviews and responses to queries/findings.
  • Maintain an organised and accurate system of records to manage all data within the Compliance team to ensure information is readily accessible, searchable and up-to[1]date.
  • Contribute to management information (MI) for Management for relevant committees.
  • Collation of data to populate key risk indicators and MI for relevant committees.
  • Ensuring the output of work feeds into risk assessments, policies, procedures and the design of controls to proactively support the compliance framework and enhance the culture within the business.
  • Keeping up to date on changes and developments within the industry
  • Ensuring compliance with the letter, spirit and expectations of applicable legal and regulatory requirements at all times
  • Taking on any role or duty, within reasonable boundaries, that the Compliance Manager or Head of Group Compliance deem necessary.


Key Skills and Qualifications:


  • Genuine interest in pursuing / developing a career in Compliance within Investment Management.
  • Prior experience from a financial institution, preferably within Investment Management or Stockbroking.
  • Minimum 2 years compliance related experience is desirable.
  • Have existing knowledge of regulatory, risk and/or legal environments for UK financial services firms.
  • High level knowledge of office software in particular spreadsheets and word processors.
  • Educated to a degree level or equivalent is desirable.

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