Working as part of the compliance team the successful candidate will be tasked with taking a leading role in the design, development and execution of the client's risk-based compliance monitoring and due diligence programmes. The main responsibilities of the role are as follows:
- Working with the Senior Compliance Manager and other members of the team to execute reviews according to the agreed plan.
- Pride input to risk management to determine the focus of the annual monitoring and due diligence plan
- Manage the creation of risk scorecards and monitoring reviews with the Global Compliance Monitoring Scheme (GCMS)
- Ensure that output from completed reviews is documented accurately and in a timely fashion - with escalation to the appropriate parties where applicable.
- Assist in the preparation of appropriate board reports and contribute to the EMEA Compliance Monitoring forum.
- Conduct general Compliance duties including maintaining breaches and complaints records, processing individual registrations, p/a dealing and regulatory reporting.
- Provide training as required to applicable business partners.
The idea candidate should posses the following skills and attributes:
- Prior experience within financial services, ideally from Compliance, Risk or Internal Audit.
- Familiarity with the UK regulatory system including the FCAs supervisory approach
- Exposure to US regulation (advantageous)
- Degree level preferred.
In exchange for the above my client offers the opportunity to join a leading organisation with a remuneration package to match.