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Compliance Monitoring Officer

3 months ago

London, UK, United Kingdom Merje Full time

A leading wealth management firm are currently looking to recruit a Compliance Monitoring Officer to join a newly formed European compliance team. With a European remit, its essential candidates have French or German language skills.


Role responsibilities.

  • Deliver a series of defined monitoring tests to ascertain the firm’s compliance with its regulatory and legal obligations.
  • Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule.
  • Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the business demonstrate positive compliance.
  • Perform continuous gap analysis of the CMP scope and application.
  • Actively contributing to a ‘live’ compliance risk assessment of the firm.
  • Supporting and undertaking Compliance Reporting (reporting and notifications to regulatory bodies as required, internal management reporting, register maintenance).


Personal Attributes & Experience

  • Experience in a compliance monitoring role (preferred but not essential)
  • Fluent in French or German (essential)
  • Background in Financial Services
  • Relevant qualifications through industry body or educational institution.
  • Proficient in English


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.