Compliance Monitoring Associate

14 hours ago

London, United Kingdom Page Personnel Finance Full time

This is a new opportunity for a Compliance Monitoring Associate to work for a Financial Services business in the City of London. The Compliance Monitoring Associate will work as part of the Second Line of Defence Compliance Monitoring team, assisting withall aspects of ongoing 2LoD compliance monitoring.

**Client Details**

The client is a Financial Services business, specifically an Investment and Wealth Management firm in the City of London.

**Description**

**Compliance Monitoring Associate**
- To work as a key member of the second line of defence and work closely with the first line whilst maintaining independence.
- Performance of regular 2LoD monitoring reviews with exceptions to be investigated in respect to areas such as financial crime and suitability
- Reporting of concerns, issues and other findings accordingly
- Additional monitoring activities to include departmental thematic and desk-based reviews including writing reports
- Formulating actions and engaging with stakeholders to track the recommendations to their resolution
- Undertaking root cause analysis
- Attend and contribute to team and inter-departmental meetings
- Maintain an organised and accurate system of records to manage all data within the Compliance team to ensure information is readily accessible, searchable, and up to date
- Collation of data to populate key risk indicators and MI for relevant committees
- Ensuring the output of work feeds into risk assessments, policies, procedures, and the design of controls
- Assist the Compliance Monitoring Manager in completion of the Compliance Monitoring programme
- Escalating any potential risks identified to the Compliance Monitoring Manager and Head of Compliance
- Collating management information (MI) for Management and/or Board meetings

**Profile**
- Will have a background within a financial institution, preferably within Investment/Wealth Management
- Minimum 1 year working in a Compliance related role
- Will be able to travel to the City of London 3 days per week

**Job Offer**

£40,000 - £45,000

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