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Compliance Monitoring Executive

2 months ago

London, Greater London, United Kingdom Meredith Brown Associates Full time

Job Summary:

Meredith Brown Associates is seeking a highly skilled Compliance Monitoring Executive to join our team. As a key member of our Compliance function, you will play a critical role in supporting the Senior Compliance Manager in undertaking the annual compliance monitoring programme.

Key Responsibilities:

  • Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
  • Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
  • With the support of the Senior Compliance Manager, agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure.
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
  • Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities.
  • Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements.

Requirements:

  • Proven experience in a compliance monitoring function within the Asset Management arena.
  • CISI IAQ / IOC, Investment Compliance Diploma or other compliance qualification from the International Compliance Association (ICA) would be useful.
  • Excellent attention to details skills with a genuine interest in financial services.