Compliance Monitoring

  • £60K to £75K + benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • Optimus E2E
  • 21 Mar 19

Our Client is currently looking to add to its Compliance team, based in their West End office. The position will report to the head of compliance and the primary focus of the role will be maintaining and driving the completion of the Compliance Monitoring Programme and managing BAU.

Key responsibilities:

·         Conducting monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements policies;

·         Maintain, develop and drive the completion of the Compliance Monitoring Programme;

·         Review and approval of financial promotions;

·         Developing and implementing an effective compliance culture;

·         Development of regulatory procedures by identifying areas of weakness and making improvement;

·         Assisting with the production of management information on compliance issues;

·         SME for compliance

Experience & Skills:

·         5 years+ experience working with compliance team within financial services

·         Educated to degree level

·         Strong technical knowledge of the FCA Handbook and relevant regulations

·         Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment

·         Excellent written and verbal communication skills

·         Strong IT skills and proficiency in Excel