Compliance Monitoring Associate

2 weeks ago

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

Job Title: Compliance Monitoring Associate

Job 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 programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
  • Work 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.
  • With the support of the Senior Compliance Manager, agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns.
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
  • Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities.
  • Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements.

Requirements:

  • Proven experience in a compliance monitoring function within the Asset Management arena.
  • Good working knowledge of FCA rules.
  • Strong communication and stakeholder management skills. Ability to translate compliance regulations to internal teams.
  • CISI IAQ / IOC, Investment Compliance Diploma or other compliance qualification from the International Compliance Association (ICA) would be useful
  • Experience of Suitability of Advice and/or CASS would be beneficial.
  • Ideally, you will be degree educated.
  • Excellent attention to details skills with a genuine interest in financial services.

  • Senior Compliance Monitoring Associate

    3 weeks ago

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

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Senior Compliance Monitoring Associate

    3 weeks ago

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

    Senior Compliance Monitoring AssociateCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be responsible for:Delivering the annual compliance monitoring programme by undertaking...

  • Senior Compliance Monitoring Associate

    4 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 dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Senior Compliance Monitoring Associate

    4 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 dynamic compliance team. As a key member of our team, you will be responsible for assisting in the delivery of our annual compliance monitoring program, identifying control gaps and weaknesses, and proposing viable solutions to mitigate...

  • Senior Compliance Monitoring Associate

    2 weeks 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 Associate

    1 month ago

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

    Senior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring Associate – Two Years Retail FS or Wealth Management Monitoring Experience RequiredCompliance Recruitment Solutions is seeking a highly skilled Senior Compliance Monitoring Associate to join their dynamic compliance monitoring team. Reporting to the Senior Compliance Assurance Manager, the successful candidate will be...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring RoleWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our team at Compliance Recruitment Solutions. As a key member of our compliance monitoring team, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Assist in the delivery of the...

  • Senior Compliance Monitoring Officer

    4 days 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...

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    7 days 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...

  • 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 team. The ideal candidate will have at least two years of experience in compliance monitoring, with a focus on wealth management and retail financial services.Key Responsibilities:Deliver high-quality compliance monitoring activities and...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our team. As a key member of our compliance team, you will be responsible for assisting in the delivery of our annual compliance monitoring program by undertaking agreed monitoring activities to a high standard and delivering...

  • Senior Compliance Monitoring Associate

    1 month ago

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

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our team. As a key member of our compliance team, you will be responsible for assisting in the delivery of our annual compliance monitoring program by undertaking agreed monitoring activities to a high standard and delivering...

  • Senior Compliance Monitoring Associate

    1 week 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...

  • Compliance Associate

    3 weeks ago

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

    Compliance Associate - Junior Client Onboarding & KYC OfficerWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team as a Junior Client Onboarding & KYC Officer. As a key member of our compliance team, you will be responsible for assisting with all new client onboarding requirements and documentation, ensuring compliance...

  • Compliance Associate

    3 weeks ago

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

    Compliance Associate - Junior Client Onboarding & KYC OfficerWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team as a Junior Client Onboarding & KYC Officer. As a key member of our compliance team, you will be responsible for assisting with all new client onboarding requirements and documentation, ensuring compliance...

  • Senior Compliance Monitoring Associate

    2 weeks ago

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

    Job Title: Senior Compliance Monitoring AssociateJob Reference: 4047G2Salary: £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...