Description
My private banking client are recruiting for an interim Compliance Monitoring Assistant for an initial 3 Month period with the opportunity to extend.
Main Responsibilities
The role involves execution of the tasks contained in the Compliance Monitoring Program ('CMP'), ensuring the program stays up to date in line with regulatory changes.
DUTIES AND SPECIFICATIONS
- Daily completion of compliance monitoring tasks in accordance with the CMP, identifying and escalating any areas of concern
- Ensuring the Compliance Officer is regulatory advised regarding the results of all monitoring.
- Identify regulatory changes (either rules or guidance) affecting the UK entities and ensure that these are reflected in the CMP
- Writing reports for monthly London Risk Committee
- Assisting with the submission of any external regulatory reports
- Completion of group compliance reporting
- Investigate and report upon breaches of regulations and assist with remedial action.
- Assist with ensuring that compliance related Directives, Policies & Procedures remain up to date
- Personal Account permissions, recording and monitoring of transactions
- Gift and Entertainment permissions
- Assisting with completion of internal group reporting
- Maintaining internal Compliance Department Procedures Bible
- Assisting with completion and review of yearly Conflicts of Interest Attestations
- Maintaining Compliance Breaches Register
- Assisting Compliance Officer with ad hoc tasks, in particular, knowledge of AML/KYC on boarding is required
Applicants must have a minimum of 5 years experience of working in a financial services industry Compliance Department covering monitoring of; Private Banking (including transactions), Investment Management, Trading for all clients.
If you are immediately available and you are interested, please send your CV or call me