Excellent opportunity to join one of the most prestigious fintech companies, who operate across stocks, ETFs, Forex and Commodities.
A unique opportunity has arisen for a Compliance Monitoring Officer.
The successful individual will be undertaking compliance monitoring testing in accordance with an annual Compliance Monitoring Plan.
To be considered for the role you will need to meet the following requirements:
- Need someone that is experienced in running an operational compliance monitoring program.
- Knows how-to pick-up compliance plans and run with procedures.
- Familiar with compliance testing.
- Ability to cover topics such as KYC, Market Abuse, AML, SMCR and conflicts.
- Possesses strong reporting skills and can work on multiple projects simultaneously and respond to incidents.
- Can draft planning materials, issues, reports and prepare test related materials.
- Ability to work as part of a team and collaborate with the wider business.
- Able to work independently and assess and prioritise workloads.
The role includes the following:
- To undertake regular compliance monitoring in conjunction with the annual Compliance Monitoring Plan.
- Identify gaps or weaknesses in the plan and propose remedial actions.
- Manage the daily monitoring plan and ensure tests are completed on time and progress is made against the plan.
- Assist in scoping, implementing, and managing second line testing. Vital that these tests conform with regulatory requirements and business process.
- Report and discuss test findings with management and follow up on any remediation's.
- Document findings, recommend actions and management responses with the agreed timescales and action owners.
- Ensure that follow -ups are made on agreed compliance actions and report all outstanding actions to the Senior Compliance Manager, and where relevant the Head of Compliance.
- Track the relevant business units on mitigating risk and supporting improvements across the business.
- Supporting the wider compliance business on any ad-hoc tasks.
It is important the individual has compliance monitoring experience within financial services. An understanding of FCA rules and regulations is essential.