Senior Compliance and Monitoring Officer

4 weeks ago

London, United Kingdom Quintet Private Bank Full time

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our client and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others, we are small (,
When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes.
The Compliance Monitoring Officer (CMO, Associate) will fully contribute to the delivery of the firm’s compliance monitoring programme, delivering the monitoring tests assigned to them on time. They provide clear direction to the 1st line of defence; supporting their closure of any gaps in the current operating state through agreed actions and deadlines. This role requires orderly and complete record keeping in alignment with the Compliance Monitoring Specification to evidence the oversight work done in providing positive assurance of the firms’ compliance with its regulatory and legal obligations.
The CMO (Associate) supports their line manager, Head of Compliance and broader function in alignment with the Compliance Monitoring Specification. We are flexible on the role being based in either, our London or Manchester office .
Key Accountabilities
• Deliver a series of defined monitoring tests to ascertain the firms’ compliance with its regulatory and legal obligations.
• Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule
• Responsible for maintaining excellent record keeping in alignment with the Compliance Monitoring Specification – correct use of test folders, version control, naming conventions which produce orderly records for inspection by third parties.
• Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the business demonstrate positive compliance
• Evolve, adapt and design required testing sheets under the direction of their manager
• Perform continuous gap analysis of the CMP scope and application
• Actively contributing to a ‘live’ compliance risk assessment of the firm
• Supporting and undertaking Compliance Reporting (reporting and notifications to regulatory bodies as required, internal management reporting, register maintenance) 
• To work and conduct yourself with skill, professionalism, discretion befitting a member of the Compliance Department maintaining independence and integrity of thought and action necessary to work within a second line of defence. 
Knowledge and Experience
• Good working knowledge of applicable regulatory and/or legal requirements across the Bank’s activities In their location and more widely if applicable
• Delivering and/or assessing delivery of, the above through analysis of client files, procedures, processes, record keeping
• Delivering regulatory change within a firm
• A working understanding of outcomes based regulatory compliance work.
• Understanding the application of 3LOD model and delivering an effective 2nd Line of defence in the application of oversight and assurance.
Attributes and Qualities
• Ability to engage people effectively in order to recognise and achieve agreed outcomes, when engaging with business colleagues and in supporting colleagues in their compliance monitoring work. 
• Ability to understand regulatory text – regulation, directive, guidance – and understand its practical implications and applications.
• Excellent business writing skills the ability to summarise at high level as-well-as explain detail findings clearly and concisely
• Ability to apply root cause analysis to findings in order to create effective actions
• Demonstrate a fundamental understanding of the audience and the aim of the report at hand.
• Excellent record keeping - use of ascribed folders, naming conventions, dating and version control – required to create a lasting and robust records which the senior managers can rely on in accordance with the Compliance Monitoring Specification. 
• Effective diary and work management.
• Principled – held as an exemplar for conduct and behaviour which holds honesty and integrity at its core.
• Record of Maintaining ongoing accredited CPD with a recognized industry body to the required number of annual hours.
Technical Skills
Excellent written, verbal, numeric and comprehension skills
Relevant qualifications through industry body or educational institution.
IT proficient
Languages Skills
Proficient in English required 
Intermediate knowledge of other Quintet languages (particularly French / German) is preferred
Investing puts your capital at risk. Products and services availability may vary across locations and local regulations apply.
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