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This position will play a vital role in delivering the control framework for an expanding and progressive business. Assisting the Compliance Monitoring Manager on a day-to-day basis, including deputising where appropriate, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination and other assurance functions.
Assist the Compliance Manager in all aspects of delivering the complaince monitoring programme
Carry out desk based and thematic reviews across the private bank, as part of the second line of defence.
Carry out monitoring tasks independently or in collaboration with other monitoring team members
Business-facing reviews of key business activities and adherence to controls
Composition of reports of completed reviews and monitoring activities
Tracking and follow up of recommendations and actions
Other complaince Duties
Large Holdings and Takeover monitoring (and reporting where relevant)
Reviewing, investigating and clearing system driven transaction monitoring alerts (daily and monthly)
Reviewing, investigating and clearing market abuse and best execution alerts
Staff dealing reviews
Gifts & Entertainment reviews
Experience, Skills and Competencies Required
Methodical, structured and rigorous approach to delivery
Strong problem solving and analytical skills
Excellent organisation skills
Ability to prioritise and work on own initiative.
Excellent oral and written communication skills
Ability to foster strong working relationships within the team and with the businesses