Compliance Monitoring Specialist will be responsible for conducting comprehensive compliance monitoring reviews, ensuring adherence to regulatory standards and internal policies. This role involves collaborating with senior management to develop and implement a robust compliance monitoring plan, providing expert advice, and supporting various compliance-related projects.
Responsibilities
* Conduct thorough compliance monitoring reviews, including thematic and periodic desk-based assessments, from planning to completion.
* Ensure all evidence and records are meticulously maintained to support findings and conclusions.
* Communicate findings effectively, both verbally and in writing, ensuring clarity and comprehensiveness.
* Track and report on the progress of remedial actions, offering guidance to management on necessary improvements.
* Assist in conducting compliance risk assessments and developing an annual compliance monitoring plan based on identified risks.
* Collaborate with the Head of Compliance Monitoring to develop and track the compliance monitoring plan.
* Offer subject matter expertise and support for compliance monitoring activities within the business.
Requirements
* At least 7-12 years of experiences in compliance monitoring, internal audit, or a compliance function, preferably within investment/wealth management sector.
* Comprehensive understanding of FCA rules and guidance, including Consumer Duty, MiFiD regulations, UCITS fund products, regulatory frameworks, SMCR, and Market Abuse Regulations.