Compliance Monitoring Analyst - Asset Manager - London, United Kingdom,
A well established and highly successful Asset Manager are seeking to recruit a Compliance Monitoring Analyst to work closely with the Head of Compliance Monitoring in performing firm wide thematic reviews.
Reporting in to the Head of Compliance Monitoring, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties will include:
• Undertake thematic reviews and surveillance monitoring activities as established by the Compliance Monitoring Plan to ensure compliance with regulatory requirements and to test adherence to internal policies and procedures
• Liaise with relevant staff/business managers to ensure that compliance monitoring findings are discussed and the timeframes for the completion of any remedial actions are agreed
• Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes
• Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Monitoring
• Tracking remedial actions with the business and escalate where necessary
• Assisting the Head of Compliance Monitoring with the production of periodic reports to Boards and Committees.
• Support the Head of Compliance Monitoring with other ad hoc tasks
• 2-3 years of Compliance Monitoring experience, ideally gained in an Asset or Wealth Management environment
• Experience of scoping and conducting thematic reviews essential
• Familiarity with FCA Handbook and regulatory frameworks
• Be confident in dealing with senior stakeholders
• Excellent organisational, communication and presentation skills