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Compliance Review Specialist

3 months ago

Liverpool, Liverpool, United Kingdom Rathbones Group Plc Careers Full time

Company Overview:

At Rathbones, we are dedicated to fostering a supportive work environment that prioritizes the growth and development of our employees. We believe in investing in the future of our team members and providing opportunities for career advancement while sharing in the success of our organization.

Position Overview:

Department: Middle Office

Contract Type: Temporary Engagement

Reporting Line: Head of Compliance Monitoring and Assurance

Work Arrangement: Hybrid Model

Role Objective:

The Compliance Monitoring Reviewer plays a crucial role in supporting the Compliance Monitoring Team at Rathbones by engaging in a dedicated review project focused on client instructions and propositions. This position also involves generating regular updates and management reports.

Key Responsibilities:

  1. Conduct thorough reviews of client instruction documentation to verify the accuracy of received and processed instructions.
  2. Identify and document any discrepancies in client instructions that fall short of internal quality standards.
  3. Review client portfolios to ensure adherence to established internal procedures.
  4. Collaborate with the Compliance Monitoring Team to ensure that any identified errors are reported and corrected in line with internal protocols.