Compliance Monitoring Associate

1 month ago

London, United Kingdom Meredith Brown Associates Full time
Job Title: Compliance Monitoring Associate

At Meredith Brown Associates, we are seeking a highly skilled Compliance Monitoring Associate to join our team. As a Compliance Monitoring Associate, you will play a critical role in ensuring that our organization adheres to regulatory requirements and maintains a strong compliance culture.

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.

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feedback on all applications; only successful candidates will be contacted

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