Compliance Monitoring Officer

2 weeks ago

London, United Kingdom Morningstar Full time

**Compliance Monitoring Officer - Wealth Platform**:
**Location**:London, EC1 / Hybrid**:
**About the role**:
**The role is primarily focused **on compliance monitoring **for our investment platform** to test systems and con**trols** and adherence **with** **FCA **regulatory rules**, guidance and principals**.** **There will also be some responsibilities relating to** anti-money laundering policy and procedures for the business. **We ensure that the business controls risk and adheres to the rules that make sure these aims are met and investors are empowered and protected.**:
**In this role you will**:

- ** Conduct **in depth **evidence-based** **compliance monitoring reviews in accordance with the **annual **Compliance Monitoring Plan** to identify **rule breaches**,** control weaknesses** and issue **risk graded reports **identifying remedial action**s**;**:

- ** Contribute** and develop the risk based annual Compliance Monitor**ing Plan **alongside the** Head of Compliance;**:

- ** Work closely with** the Head of Compliance with maintaining appropriate systems and controls**;**:

- ** Participate in relevant committees, such Risk & Regulatory Change Committee and Breaches & Incidents Committees**;**:

- ** Contribute to the continued development of our risk management framework.**:

- ** Alongside other members of the Compliance team, answer technical queries **and **c**onduct **Sanctions** and PEP screening**;**:

- ** Special projects work as assigned by Head of Compliance** inclusive of regulatory change**.**:
**What you need to be successful**:

- ** Strong technical knowledge of UK financial services regulation** inclusive of FCA handbook **with a significant focus on **the **COBS** and **CASS **sections of the handbook**,** **as well as** **AML legislation**:

- ** R**elevant industry qualification**s**:

- ** 4-5 years **compliance **experience**:

- ** Strong communication skills with** the ability to articulate findings clearly at a senior level**:

- ** Ability to prepare and deliver training**:
**Who We Are**:
**At Morningstar, we strive to Empower Investor Success. We tirelessly pursue new ways to combine our data and research with design and technology to help solve investors’ needs. Our solutions pave the way for investors to achieve their goals with confidence.**

**The Morningstar Wealth Platform allows investors and advisers to collaborate through their financial journey with seamless and enjoyable digital experiences. By learning through data and engagement, we build products and offer services that connect people to the financial information and tools they need. Our mission is to enhance the education, engagement, and experience for the investor.**:
P03_MorningstarWealth(UK)Limited Morningstar Wealth (UK) Limited Legal Entity
- If you received and accept an offer from us, we require that personal and any related investment_s be disclosed _confidentially_ _to our_ Compliance team (days vary by region). These investments will be reviewed to ensure they meet Code of Ethics requirements. If any conflicts of interest are identified, then you will be required to liquidate those holdings immediately. In addition, dependent on your department and location of work certain employee accounts must be held with an approved broker (for example all, U.S. employee accounts). If this applies and your account(s) are not with an approved broker, you will be required to move your holdings to an approved broker._

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