Compliance Officer Monitoring

THE COMPANY:

Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them

THE RESPONSIBILITIES:

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
• Identify any gaps or weaknesses in the plan and propose remedial actions.
• Assist with scoping, implementing and managing second line testing
• Report and discuss all findings with appropriate management
• Document the findings, recommended actions and management responses together with agreed timescales and action owners.
• Follow-up management’s implementation of agreed compliance actions
• Support the wider compliance team with ad hoc tasks as required.

EXPERIENCE REQUIRED:

• Compliance monitoring experience within financial services.
• Solid risk assurance/thematic and audit style compliance review experience
• Broad understanding of the FCA rules and regulations.
• Good interpersonal and skills
• Strong documentation skills;
• Ability to assimilate complex details quickly and present to the management team
• Strong report writing skills, as well as attention to detail and accuracy

For further information please contact Natalie Eshelby