The Compliance Monitoring Officer will be responsible for conducting compliance monitoring reviews, ensuring thorough evidence gathering, and producing high-quality reports. The role involves supporting the development and tracking of the Compliance Monitoring Plan. This position will report directly to the Head of Monitoring. It is based in London and offers a hybrid working arrangement.
Responsibilities
1. Conduct comprehensive compliance monitoring reviews, including thematic and desk-based periodic reviews, ensuring thorough evidence gathering and record-keeping.
2. Communicate findings effectively, both verbally and in writing, and track remedial actions while guiding management on necessary improvements.
3. Support the development and tracking of the annual Compliance Monitoring Plan and conduct compliance risk assessments.
4. Assist in drafting, coordinating, and maintaining the Compliance Monitoring Manual, and provide senior management with relevant information on the plan's progress.
5. Collaborate with other compliance functions to standardize policies and procedures, and deputize for the Head of Compliance Monitoring when necessary.
Requirements
1. Experience in compliance monitoring, internal audit, or a compliance function, preferably in asset or wealth management.
2. Strong understanding of FCA rules and guidance, including Consumer Duty, MiFiD regulations, UCITS fund products, regulatory frameworks, SMCR, and Market Abuse Regulations.
3. Proven task and project management skills, with the ability to prioritize and manage multiple projects simultaneously.
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