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Compliance Monitoring Officer

4 months ago

London Area, United Kingdom Britannia Global Markets Limited Full time

The Compliance Monitoring Officer plays a critical role in ensuring the adherence of the brokerage firm to regulatory requirements and internal policies. This position involves undertaking compliance monitoring in accordance with the task driven schedule outlined in the Compliance Monitoring Program.


Key Responsibilities:

  • Assist in the design and implementation of a compliance monitoring framework.
  • Assist in the development of monitoring plans and schedules to systematically review various aspects of the firm’s operations.
  • Assist in the rollout and enforcement of new and updated compliance policies and procedures across the firm.
  • Support the compliance team by responding to internal inquiries related to compliance issues and policies.
  • Work closely with other departments to ensure the effective communication of compliance-related matters and foster a compliance-oriented environment.
  • Help in conducting regular compliance reviews and audits to ensure adherence to laws, regulations, and company policies.

Monitoring

  • Ensuring that compliance monitoring testing is completed in a timely manner and accurately record all findings in the Compliance Monitoring Action Log.
  • Escalating material findings and trends to the Compliance Monitoring Manager.
  • Supporting the Compliance Monitoring Manager in developing and maintaining compliance monitoring program.
  • Assist in conducting compliance reviews and assessments covering areas such as trading activities, client onboarding, marketing materials, and internal controls.

Reporting

  • Assist in maintaining records of compliance activities, including complaints, inspection documents, and compliance reports.
  • Monitor regulatory developments and help in preparing compliance reports for internal and external use.

Experience required

  • Experience in compliance monitoring within the financial services industry, preferably within a brokerage.
  • Knowledge of UK financial regulations, including FCA rules and guidelines.
  • Analytical skills and attention to detail.
  • Excellent communication and interpersonal skills.
  • Able to work independently and as part of a team.