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Compliance Specialist

2 months ago

Leeds, Leeds, United Kingdom Clayton Davies Full time £50,000
Compliance Monitoring Specialist

Our client, a leading Investment Management firm, is seeking a skilled Compliance Monitoring Specialist to join their team at Clayton Davies.

The Compliance Monitoring Specialist will play a critical role in ensuring the company's adherence to regulatory requirements and internal policies. This involves conducting regular compliance audits, monitoring activities, and identifying potential areas of compliance vulnerability.

The specialist will work closely with various departments to ensure the effectiveness of compliance programs and foster a culture of compliance within the firm.

  • Conducting risk-based compliance monitoring reviews to ensure identified issues are addressed and recurrence risks are mitigated.
  • Assisting the Compliance Monitoring Manager in developing and implementing the compliance monitoring program and processes to identify and mitigate potential compliance risks.
  • Collaborating with internal departments to address compliance issues and implement remedial actions as necessary.
  • Reporting potential compliance breaches or conduct issues and ensuring they are resolved efficiently and thoroughly.
  • Assisting in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance.

Significant experience working in a Compliance role within Financial Services is essential. A minimum of 3-5 years of experience in a compliance monitoring role or similar is required. Strong knowledge of regulatory requirements and industry standards is also necessary.

This is an excellent opportunity for a skilled Compliance Monitoring Specialist to join a highly successful Investment Management firm and contribute to the development of a robust compliance program.