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Compliance Associate

3 months ago

London, United Kingdom Compliance Professionals Full time

**THE COMPANY**:
Our client is a prestigious private wealth firm based in the West End.

**THE RESPONSIBILITIES**:

- Review and closure of daily Market Abuse and Transaction Monitoring alerts - working closely with the Front Office to ensure timely closure.
- Escalation to the MLRO of any concerns.
- Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures
- Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
- Investigate and report upon breaches of regulations
- Assist with ensuring that compliance related Directives, Policies & Procedures remain up to date
- Assist staff with interpretation of rules and assist in development of a positive compliance culture
- Assist in maintaining standards of regulatory risk management through an effective process of risk identification, assessment and mitigation
- Assists in production of appropriate MI
- Daily completion of compliance monitoring tasks in accordance with the CMTP
- Manage the completion of multiple simultaneous reviews where required
- Providing output for monthly Senior Managers Compliance Committee and Risk Committee
- Assisting and covering for other members of the Compliance department as required
- Assisting with inputting and submitting PRA/FCA registrations of all approved persons
- Assisting with induction training and ensuring all compliance forms have been signed
- Support with regulatory reporting
- Assist with compliance approvals

**EXPERIENCE REQUIRED**:

- Experience of working in a financial services industry Compliance Department covering monitoring of Private Banking activities (including transactions)
- Experience of producing compliance risk assessments
- Proven track record of report writing on the results of compliance monitoring and testing.
- Strong stakeholder management experience

For further information please contact Natalie Eshelby