Please only apply if you have Buy-Side Financial Crime experience
THE COMPANY:
Our client is a leading FTSE 100 global platform for private investors.
THE RESPONSIBILITIES:
When required, undertaking monitoring reviews or lead on reviews with colleagues with focus on Financial Crime
Delivery of the Group’s Compliance Monitoring Plan
Challenging SMFs and senior leaders (verbally and in writing) on the results of monitoring
Contributing to the development of the Compliance Monitoring function in terms of methodology, process and procedures
Contributing to and offering thought leadership to Compliance Monitoring offering suggestions leveraged from experience
Maintaining appropriate processes for monitoring and overseeing the work performed by action owners to address deficiencies raised through monitoring
Managing the delivery of continuous improvement for the monitoring processes
Designing, producing and distributing appropriate management information for key stakeholders
Working with co-source partners to deliver reviews where industry insight or specific SME knowledge is required
Working with or alongside Risk Assurance colleagues to achieve integrated 2LOD assurance
Deputising for the Senior Compliance Monitoring Manager Team Lead
Attending relevant Committee meetings to report on the progress of the thematic plan, the results of monitoring activities and the status of open and overdue management actions
Building and maintaining strong relationships with senior managers across the first, second and third lines
EXPERIENCE REQUIRED:
Extensive knowledge of the regulatory environment and the three-lines of defence model
Comprehensive knowledge and understanding of FS products and markets; of UK and European financial services regulation and policy environment and regulatory processes
Buy-Side experience is a must
Financial Crime experience (NOT KYC)
For further information please contact Spencer Evans
