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Compliance and Risk Professional

2 months ago

London, Greater London, United Kingdom Trident Trust Full time

Trident Trust is a leading independent provider of corporate, trust and fund services to the financial services sector worldwide, employing over 1000 staff across a global footprint that spans multiple regions.

We are seeking to expand our Group Compliance Monitoring Team through the recruitment of a Compliance Monitoring Officer to support the delivery of second-line monitoring reviews across our global offices.

This role is based in a global location

Key Responsibilities

  • Conduct Compliance Monitoring reviews in line with the approved Compliance Monitoring Plan or as requested by the Group Head of Audit, Risk & Compliance and in line with agreed standards / methodology
  • Plan and research areas subject to Compliance Monitoring review, including regulatory requirements and local office policies and procedures
  • Review and complete work papers and agreed testing by documenting the results of Compliance Monitoring testing completed and provide to the Group Compliance Monitoring Manager for quality review
  • Produce Executive Summary reports of Compliance Monitoring reviews completed that are factual, accurate and appraise issues identified and the mitigating actions to be taken by management to remediate
  • Conduct follow-up activities to ensure agreed actions have been fully implemented to minimize business risks and ensure regulatory compliance

Requirements

  • A minimum of 5 years' experience within a compliance-related role (preferably Compliance Monitoring) within the financial services industry or experience of trust services
  • Exposure to and understanding of AML/CTF requirements across multiple jurisdictions (essential)

In addition to the above essential duties and responsibilities, this role includes other duties as assigned. The full job description is available upon request.