CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance Monitoring Officers x 4 - Thematic & Desk Reviews
Morgan McKinley are acting on behalf of a leading invesment management firm to recruit for 4 x monitoring officers for 6-12 month FTC with a strong possibility of temp to perm at the end of the FTC.
To support the Compliance Monitoring Manager and Head of Compliance Monitoring & Assurance in delivering high quality Compliance monitoring activities across the firm in an efficient and targeted manner
Responsible for the delivery of high quality Compliance monitoring activities across the firms business. Activities include regular testing, thematic and ad-hoc reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes
Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance
Consult with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI and KPI information, as appropriate
Undertake testing; recording monitoring testing, findings and agreed actions using the compliance monitoring workflow tool
Responsible for ensuring that where issues are identified appropriate mitigating actions are recommended to the business and tracked through to completion
Draft and issue of formal reports to the business
Liaising with the Compliance Advisory Teams on emerging themes and review findings in order for these to be incorporated into the Compliance advice provided to the business
On an ad-hoc basis assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance with the production of periodic reports to Boards and Committees
Ad-hoc and on a periodic basis assist the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance in maintaining compliance monitoring risk assessments
The Ideal candidate will have:
Experience of contributing towards the delivery of risk-based Compliance monitoring plans and executing thematic & desk reviews across such areas like; EMIR reporting, complaints, COI and more
Extensive regulatory compliance knowledge ideally within the asset management or investment banking industry
A good understanding of UK and other international regulatory requirements
*This role is not KYC/AML Reviews and no KYC/AML/FCC profiles will be accepted*
Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.
BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.