Description
Compliance Monitoring Officer
A top tier Investment Management firm are currently looking to recruit a Compliance Monitoring Officer to join their growing Compliance team in London.
Responsibilities include:
- Review and development of the risk based thematic monitoring and surveillance programme
- Lead, design and perform compliance monitoring activities
- Managing and performing monitoring activities of regulatory requirements.
- Communicating results of activities to the business unit stakeholders.
- Designing, creating and updating the compliance risk assessments.
The ideal candidate will have:
- Relevant Compliance Monitoring or Trade Surveillance experience within an Asset Management or Banking environment
- Sound knowledge of FCA regulatory framework
- Excellent interpersonal and influencing skills.
Compliance Monitoring Officer