Compliance Monitoring Associate

Posted 13 March 2020
Salary Negotiable
LocationLondon
Job type Permanent
ReferenceLUTCMAnalyst_1584109024
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