Lutine Bell are currently supporting a rapidly growing Financial Services organisation looking to hire a Senior Compliance Monitoring Associate into their growing 2nd line compliance team on an initial 12 month FTC.
Responsibilities:
* Conduct regular and ad-hoc compliance monitoring reviews to evaluate compliance with relevant laws, regulations, and internal policies.
* Identify and assess compliance risks, including regulatory, operational, and reputational risks, and develop appropriate monitoring plans to address these risks.
* Collaborate with business units and other stakeholders to ensure compliance with applicable laws, regulations, and industry best practices.
* Review and analyse regulatory changes and industry developments to assess their impact on Wealthtime Group’s monitoring program.
* Prepare comprehensive compliance monitoring reports, highlighting findings, recommendations, and areas for improvement, and present them to senior management and relevant committees.
Requirements:
* Robust experience in a compliance monitoring role within the financial services industry in a 2nd line compliance role. Relevant business qualification e.g., Certified Regulatory Compliance Manager or CISI Compliance Diploma)
* In-depth knowledge of relevant laws, regulations, and industry best practices, such as AML, KYC, MiFID, GDPR, and other applicable regulations.