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Compliance Monitoring Officer - Investment Platform - London
Twenty Recruitment Group
January 3, 2018
London, United Kingdom
This Investment Platform was an award winning start up that has undergone major growth and investment over the last 15+ years. Now, they are a well-established, market leader and the Compliance team is very visible with a strong backing from senior leadership. With a more relaxed culture, collaborative team and great work life balance, this is a great opportunity to explore the next step in your career.
This position as Compliance Monitoring Officer is a pivotal role where you will support the Compliance Managers to deliver enhanced monitoring activities in line with the Group's Compliance policies.
Primary responsibilities will include:
Assist with and input into the annual Compliance Monitoring Programme including risk assessments to help identify areas for review
Produce annual updates of the Compliance Monitoring Plan
Conduct a range of monitoring activities including planning, scoping, testing, conducting thematic and desk reviews, report writing, action planning and record keeping
Communicate findings to stakeholders face to face and in formal reports and help follow up recommendations and support the Group to implement them
Develop and maintain a good working knowledge of FCA and PRA rules
Work closely and maintain strong relationships with Internal Audit and Risk
Provide support to other Compliance team members with queries and assist as needed
2-4 years' experience of working at a financial services investment and/or insurance business
2-4 years' experience working within a compliance monitoring or compliance audit role
Practical knowledge and understanding of FCA and PRA rules particularly relating to COBS, SYSC, CASS, TCF and Conduct Risk
Practical knowledge and understanding of the UK regulatory environment as it relates to the financial services industry
Educated to Degree Level
Excellent oral and written communication skills
Able to engage with senior managers confidently and in an appropriate manner
Experience working at a UK regulator or fund/pension provider would be beneficial
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.