Senior Compliance Monitoring Associate

1 month ago

London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

Job Title: Senior Compliance Monitoring Associate

Job Reference: 4047G2

Salary: £60K - £65K + Good Benefits Hybrid (West End)

We are seeking a Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:

  • Assisting 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.
  • Working 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.
  • Agreeing action plans with the business as a result of monitoring work and following up with the business to ensure identified risks are adequately mitigated.
  • Assisting with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status, including supporting the Head of Compliance with information for reports to the Audit Risk and Compliance Committee, Management Group & Board.
  • Monitoring regulatory developments and maintaining an up-to-date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities.
  • Working with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contributing to compliance processes by identifying areas for improved adherence to regulatory requirements.
  • Ensuring departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process.

The ideal candidate will have gained at least 2 years compliance monitoring experience with a Wealth Management firm or a Retail Financial Advice firm (or a Compliance Consultancy covering such) with a knowledge of regulatory processes & requirements within the sectors. Any knowledge of CASS regulations is useful, but more important are good interpersonal skills, able to diplomatically liaise with staff at all levels when carrying out monitoring duties.

This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth management businesses in the UK and to work with and learn from some of the most experienced compliance and risk professionals in the city.

We are an equal opportunities employer and welcome applications from all qualified candidates. Please send your CV to Gary Collins – gary@symescollins.com (including a contact number & email) if you are interested in this exciting opportunity.

  • Senior Compliance Monitoring Associate

    2 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

  • Senior Compliance Monitoring Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Monitoring RoleWe are seeking a Senior Compliance Monitoring Associate to join our team. The successful candidate will have at least 2 years of compliance monitoring experience with a wealth management firm or a retail financial advice firm.The role involves assisting in the delivery of the annual compliance monitoring programme, identifying...

  • Senior Compliance Monitoring Officer

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate RoleWe are seeking a Senior Compliance Monitoring Associate to join our dynamic compliance monitoring team. The ideal candidate will have at least 2 years of experience in compliance monitoring within the wealth management or retail financial advice sectors.Key responsibilities include:Delivering the annual compliance...

  • Senior Compliance Monitoring Associate

    4 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring Associate – A Key Role in Our Compliance TeamWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our dynamic compliance team. As a key member of the team, you will be responsible for delivering the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable...

  • Senior Compliance Monitoring Specialist

    1 day ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    About the RoleAs a Senior Compliance Monitoring Specialist at Compliance Recruitment Solutions, you will play a critical role in ensuring the effectiveness of our compliance monitoring programme. Your primary responsibilities will include:Key ResponsibilitiesAssisting in the delivery of the annual compliance monitoring programme by undertaking agreed...

  • Compliance Monitoring Associate

    1 month ago

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

    Job Title: Compliance Monitoring AssociateJob Summary:Meredith Brown Associates is seeking a highly skilled Compliance Monitoring Associate to join our team. As a key member of our compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements.Key Responsibilities:Assist in the delivery of the annual...

  • Compliance Monitoring Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Regulatory Affairs Specialist

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewWe are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.About the RoleThis is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory...

  • Compliance and KYC Associate

    4 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Title: Compliance and KYC AssociateJob Summary: We are seeking a highly motivated and detail-oriented Compliance and KYC Associate to join our team. The successful candidate will assist with all new client onboarding requirements and documentation, ensuring compliance with regulatory and legal requirements.Key Responsibilities:Assist with onboarding new...

  • Compliance and KYC Associate

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Are you a recent graduate seeking a challenging role in financial services? We have an exciting opportunity for a Graduate Trainee Compliance/KYC Associate to join our team.As a Graduate Trainee Compliance/KYC Associate, you will assist with onboarding new clients, agents, and distributors, performing all relevant checks on at the client on-boarding stage as...

  • Senior Compliance Monitoring Officer

    1 month ago

    London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time

    Job SummaryThe SEI Group is a leading global provider of asset management and investment technology solutions. Our Compliance department is seeking a Senior Compliance Monitoring Officer with demonstrable compliance monitoring experience to join its growing team. Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will...

  • Compliance Monitoring Manager

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Compliance Monitoring Manager RoleWe are seeking a skilled Compliance Monitoring Manager to join our client for a 6-12 month assignment. The successful candidate will be responsible for:Developing monitoring programmes and conducting initial workEvaluating findings and recommending control and procedural changesEnsuring compliance with procedures and...

  • Compliance Monitoring Officer

    2 weeks ago

    London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time

    Job Title: Senior Compliance Monitoring OfficerSEI Investments (Europe) Ltd. is seeking a Senior Compliance Monitoring Officer with strong compliance monitoring experience to join its growing team. Reporting to the Head of Compliance Monitoring, the Senior Compliance Monitoring Officer will be responsible for undertaking and completing compliance monitoring...

  • Senior Compliance and Monitoring Officer

    4 weeks ago

    London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time

    Senior Compliance and Monitoring OfficerSEI Investments (Europe) Ltd. is seeking a Senior Compliance and Monitoring Officer to join its growing team. The successful candidate will be responsible for undertaking and completing compliance monitoring reviews, including thematic and desk-based periodic reviews of the firm's systems/controls.Key...

  • Compliance Monitoring Specialist

    4 weeks ago

    London, Greater London, United Kingdom Vodafone Full time

    Role OverviewVodafone is seeking a Compliance Monitoring Manager to support the Senior Manager of Policy, Monitoring and Governance in creating and delivering a robust compliance monitoring framework.The ideal candidate will be a Financial Crime subject matter expert with a solid understanding of financial crime regulations and governance, compliance and...

  • Compliance Monitoring and Testing Associate

    1 month ago

    London, Greater London, United Kingdom XL CATLIN Full time

    Job SummaryWe are seeking a highly skilled Compliance Monitoring and Testing Associate to join our team at AXA XL. As a key member of our Compliance Monitoring function, you will play a critical role in ensuring the effective operation of regulatory compliance controls.Key Responsibilities:Lead monitoring reviews on regulatory topics within a global...

  • Compliance Monitoring Manager

    4 weeks ago

    London, Greater London, United Kingdom Vodafone Full time

    Location: Newbury or London, hybrid workingSalary: Excellent basic salary plus bonus and Vodafone benefitsWorking Hours: Full time hours per week – Mon to FriVodafone UK is committed to driving inclusion for all, creating a workplace that is fully representative of the communities and customers we serve. We're proud to be certified as a Great Place to Work...

  • Compliance Monitoring Manager

    4 weeks ago

    London, Greater London, United Kingdom Vodafone Full time

    Location: Newbury or London, hybrid workingSalary: Excellent basic salary plus bonus and Vodafone benefitsWorking Hours: Full time hours per week – Mon to FriVodafone UK is committed to driving inclusion for all, creating a workplace that is fully representative of the communities and customers we serve. We're proud to be certified as a Great Place to Work...

  • Compliance and KYC Graduate Trainee Associate

    1 month ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Job Title: Compliance and KYC Graduate Trainee AssociateJob Summary: We are seeking a highly motivated and detail-oriented Graduate Trainee to join our Compliance team as a Compliance and KYC Graduate Trainee Associate. In this role, you will assist with all new client onboarding requirements and documentation, ensuring compliance with relevant regulations...

  • Senior Compliance Monitoring Officer

    3 weeks ago

    London, Greater London, United Kingdom SEI Investments (Europe) Ltd. Full time

    Job Title:Senior Compliance Monitoring OfficerAt SEI Investments (Europe) Ltd., we recognize the importance of our employees and foster an environment that encourages growth through change. Part of achieving this goal is by developing and challenging our employees to reach their full potential through internal job mobility.Job Summary:SEI Investments...