Our client is an award-winning financial services firm listed on the London Stock Exchange.
Develop and strengthen the Compliance Monitoring Programme to identify and conduct, on a risk-based approach, strategically important areas of testing
Design appropriate and scalable assessment and testing criteria
Responsible for carrying out monitoring reviews (both thematic and focused) to determine whether key business processes and controls are designed and operating effectively to ensure compliance with key regulations and legislation
Responsible for appropriate follow up activity with key business stakeholders to ensure effective closure of actions.
Investigate and escalate breaches and undertake root cause analysis with recommendations for breach resolutions.
Provide detailed input to the monthly Risk Committee report detailing the status of monitoring, issues identified and remedial action recommended
Conduct ongoing reviews of the compliance onboarding and monitoring teams
Design and produce clear and comprehensive MI which can be used to drive business decisions
Implementation of thematic reviews to target specific business areas
Experience of working in Compliance and Financial Crime. This experience will probably have been gained through on-boarding and monitoring client activity at a first-line level
Experience in applying second line assurance frameworks across a compliance department
Good level of knowledge of UK regulatory requirements covering topics such as TCF, FX trade execution, Best Execution, and Financial Promotions
Excellent proficiency with Microsoft Excel
Strong organisational skills
For further information please contact Marcus Courtney