Compliance Monitoring - Senior Associate Compliance Monitoring - Senior Associate …

Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 24 Oct 20
65,000
Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 24 Oct 20
65,000
Assisting the Compliance Monitoring Manager on a day-to-day basis, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination and other assurance functions

Monitoring

▪ Carry out desk based and thematic reviews of the Wealth Management Division, as part of the organisations second line of defense and in line with the firm’s risk-based compliance monitoring programme
▪ Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required
▪ Composition and delivery of reports of completed reviews and monitoring activities
▪ Tracking and validation of remedial action points

Other associated responsibilities to include;


▪ Review, investigation and clearance of market abuse alerts generated through the firm’s automated surveillance tools
▪ Significant holdings monitoring 
▪ Takeover Panel monitoring 
▪ Approval and oversight of staff dealing
▪ Assist in the production of Management Information

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