Compliance Specialist

3 weeks ago


Leeds, Leeds, United Kingdom Clayton Davies Full time
Compliance Monitoring Specialist

Clayton Davies, a leading Investment Management firm, is seeking a skilled Compliance Monitoring Specialist to ensure the company's adherence to regulatory requirements and internal policies.

Key Responsibilities:
  • Compliance Audits: Conduct regular reviews and assessments of company policies, procedures, and operations to ensure compliance with FCA regulations and industry standards.
  • Risk-Based Monitoring: Perform risk-based compliance monitoring reviews, addressing identified issues and mitigating recurrence risks.
  • Compliance Program Development: Assist the Compliance Monitoring Manager in developing and implementing the compliance monitoring program and processes to identify and mitigate potential compliance risks.
  • Collaboration and Reporting: Collaborate with internal departments to address compliance issues, report potential breaches or conduct issues, and ensure efficient resolution.
  • Compliance Training: Assist in developing and delivering compliance training programs to raise awareness of regulatory requirements and promote a culture of compliance.
  • Internal Audits: Participate in internal audits and compliance reviews to assess the effectiveness of controls and identify areas for improvement.

Requirements:

  • Significant experience working in a Compliance role within Financial Services.
  • Minimum of 3-5 years of experience in a compliance monitoring role or similar.
  • Strong knowledge of regulatory requirements and industry standards.


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