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Compliance Monitoring Associate
- Posted 07 February 2020
- Salary Negotiable
- LocationLondon
- Job type Permanent
- ReferenceLUTCMAnalyst_1581093531
- Contact NameLatiesha Uter
Job description
A sell-side firm is looking to hire a Compliance Monitoring Associate to join their compliance team. We are looking to speak to candidates with proven compliance monitoring experience including reporting to senior management.
Key responsibilities:
- Assist with the ongoing management and delivery of the compliance monitoring programme
- Carry out compliance monitoring reviews and testing of multiple business areas to ensure alignment with current regulation and business standards/purposes
- Prepare reports of potential risks to the Head of Compliance and stakeholders, this must include remedial actions needed to take place
- Carry out training to the business off the back of findings
Successful candidates will have:
- Experience carrying out compliance monitoring reviews within a financial services firm (FCA regulated)
- Knowledge of MiFID II, MAR, COBS & CASS rules (desirable)
- Experience producing and writing reports to senior management
- Excellent communication skills, written and verbal