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Senior Compliance Monitoring Associate

2 months ago

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

Senior Compliance Monitoring Associate

We are seeking a highly skilled and experienced Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will play a crucial role in ensuring the effective delivery of the annual compliance monitoring programme.

  • Compliance Monitoring Programme Delivery

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.

Identifying Control Gaps and Weaknesses

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.

Action Planning and Risk Mitigation

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.

Reporting and MI

Assist 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.

Regulatory Developments and Knowledge

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.

Compliance Processes and Procedures

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.

Departmental Logs and Compliance Monitoring Programme

Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process.

Requirements

We are looking for a highly skilled and experienced Senior Compliance Monitoring Associate with at least 2 years' experience in compliance monitoring, preferably in a wealth management or retail financial advice firm. You should have a strong knowledge of regulatory processes and requirements within the sectors, as well as good interpersonal skills and the ability to diplomatically liaise with staff at all levels when carrying out monitoring duties.

This is an excellent opportunity to advance your compliance career with a leading wealth management business and work with experienced compliance and risk professionals in a dynamic and challenging role.