Our client is a rapidly growing electronic brokerage firm based in the City. They are looking to hire a Compliance Monitoring Manager to join the team based in London.
THE RESPONSIBILITIES:
Drive compliance oversight through the testing and monitoring programme
Identify areas for enhancements of systems and controls operated by the firm, and support the implementation of required changes;
Execute all testing and monitoring activities in a timely and thorough manner in accordance with industry
Discuss and agree any remedial actions emerging from the testing and monitoring activities
Follow through to ensure agreed action plans are met in a timely and accurate manner;
Report on outcomes and conclusions of testing and monitoring, and ancillary activities, including the remediation of any gaps
Effectively and clearly organise and document information arising from the execution of the monitoring and testing programme
Prepare management presentations and communication on regulatory developments and Compliance Monitoring Framework;
Create, maintain, and implement compliance-related policies, conduct internal compliance reviews, and perform legislative and regulatory gap analysis
Assist the Compliance department with its advisory role in the business by conducting research, processing requests and queries;
Manage product governance regulatory requirements, including regulatory compliance advise in periodic reviews, regulatory change impact;
Monitor changes to the business and areas of regulatory change and work with colleagues to assess the impact on the compliance testing and monitoring plan and the business;
Support others in the General Compliance team as required.
EXPERIENCE REQUIRED:
Prior experience in regulatory compliance, audit or risk function
Knowledge of the applicable regulatory framework, including Conduct Risk other relevant FCA sourcebooks.
Outstanding analytical, problem solving, organisation and follow-up skills.
An analytical mindset
A pragmatic, commercial and creative approach to problem solving and decision-making.
A team player with great people skills
For further information please contact Natalie Eshelby
