Senior Compliance Monitoring Associate
Two Years Retail FS or Wealth Management Monitoring Experience Required
£60K - £65K + Good Benefits
Hybrid (West End)
Ref: 4047G2
Our client, a boutique wealth manager and part of a larger global banking Group, is looking to recruit a Senior Compliance Monitoring Associate to join their collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include;
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
- Agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated.
- Assist with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status including supporting the Head of Compliance with information for reports to the Audit Risk and Compliance Committee, Management Group & Board
- Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities.
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements.
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process.
You should have gained at least 2 years compliance monitoring experience with a Wealth Management firm or a Retail Financial Advice firm (or a Compliance Consultancy covering such) with a knowledge of regulatory processes & requirements within the sectors. Any knowledge of CASS regulations useful but more important are good interpersonal skills, able to diplomatically liaise with staff at all levels when carrying out monitoring duties.
This is an excellent opportunity to advance your compliance career with one of the fastest growing wealth management businesses in the UK and to work with and learn from some of the most experienced compliance and risk professionals in the city.
If you are an ambitious and feel you have the aptitude and desire to work for a market leading business in an exciting and challenge role, then please send your CV to Gary Collins – gary@symescollins.com (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission.
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Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.