Compliance Risk Specialist

6 days ago

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

Job Summary

We are seeking a highly skilled Senior Compliance Monitoring Associate to join our client's dynamic compliance monitoring team. As a key member of the team, you will be responsible for assisting in the delivery of the annual compliance monitoring programme, identifying control gaps and weaknesses, and proposing viable solutions to mitigate risks.

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.
  • 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.
  • 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.
  • 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.
  • 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

To be successful in this role, you 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.

What We Offer

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.

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