Description

The Role

The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). The successful candidate will conduct compliance testing, including thematic and desk-based reviews, at a global level, while providing the business with insights and recommendations to improve regulatory compliance.

You will be responsible for:

• Assisting with the execution of the compliance monitoring plan
• Conducting and completing second line compliance monitoring reviews across all offices, including thematic assessments and desk-based periodic checks, to assess regulatory risks and business adherence to policies globally
• Maintaining accurate and comprehensive record-keeping of gathered evidence to support findings and conclusions effectively
• Providing Senior Management with relevant Management Information regarding the status and progress of the Compliance Monitoring Plan
• Investigating potential compliance breaches and work with the relevant local compliance team to implement corrective actions.
• Acting as a subject matter expert in compliance monitoring, offering advice and support to the firm's business functions as needed.

Requirements

• The ideal candidate will have approximately 5-6 years' experience of operating in a compliance monitoring role within the Asset Management or Wealth Management spac
• Experience of applying monitoring methodologies / audit methodology
• Demonstrate understanding of the 2nd line of defence and of Compliance review work in general
• Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions
• Ability to work independently, managing a diverse range of matters while collaborating with the wider business across jurisdictions and escalating issues when and if necessary.
• Excellent analytical skills with the ability to interpret regulatory requirements and assess their impact on business processes.