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Compliance Monitoring

4 months ago

London, UK, United Kingdom Bruin Full time

Join a Leading Private Bank as a Compliance Monitoring Officer


FRENCH OR GERMAN LANGUAGE SKILLS REQUIRED


About the Firm: Join a leading private bank in the wealth management sector committed to serving clients and their families with personalized services. They are searching for a Compliance Monitoring Officer to work in either their London or Manchester office who is highly proficient in French or German


Purpose of the Job: As a Compliance Monitoring Officer at this firm, you'll play a crucial role in ensuring compliance with regulatory and legal obligations. You'll contribute to the compliance monitoring program by conducting tests, maintaining thorough record-keeping, and supporting the closure of any compliance gaps identified.


Key Accountabilities:

  • Conduct defined monitoring tests to assess compliance with regulatory requirements.
  • Deliver compliance tests according to schedule and maintain meticulous record-keeping.
  • Engage with business units pre and post-testing to verify completion of necessary actions.
  • Contribute to the evolution and design of testing sheets under the direction of your manager.
  • Perform continuous gap analysis of the compliance monitoring program scope.
  • Support compliance reporting activities, including notifications to regulatory bodies and internal management reporting.
  • Conduct yourself with professionalism and integrity, maintaining independence within the second line of defense.


Knowledge And Experience:

  • Good working knowledge of regulatory and legal requirements in banking activities.
  • Experience in delivering regulatory change within a financial firm.
  • Understanding of outcomes-based regulatory compliance work.
  • Familiarity with the Three Lines of Defense (3LOD) model.


Attributes and Qualities:

  • Effective communication and engagement skills.
  • Ability to interpret regulatory text and apply it practically.
  • Strong business writing skills, with the ability to summarize findings clearly.
  • Proficient in root cause analysis and creating effective actions.
  • Excellent record-keeping and work management abilities.
  • Commitment to honesty, integrity, and ongoing professional development.#


Technical Skills:

  • Excellent written, verbal, numeric, and comprehension skills.
  • Proficiency in IT.
  • Relevant qualifications from industry bodies or educational institutions.


Language Skills:

  • High proficiency in French or German is required