Compliance Monitoring
2 weeks ago
Join a Leading Private Bank as a Compliance Monitoring Officer
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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