Compliance Monitoring Associate
£35000 + Bonus + Benefits
London City - Hybrid by agreement with Head of Compliance

Growing financial services group with 250 employees whose interests include stockbroking, investment and wealth management have a Compliance Monitoring role within their investment management compliance team of 8. They have a friendly open and team orientated environment where people are enjoy the culture and have access to management.

To be considered for this role you must meet the following criteria:
* Genuine interest in pursuing / developing a career in Compliance within Investment Management.
* Prior experience from a financial institution, preferably within Investment Management or Stockbroking.
* Minimum 2 years compliance related experience (not necessarily within a compliance department).
* Have existing knowledge of regulatory, risk and/or legal environments for UK financial services firms.
* High level knowledge of office software in particular spreadsheets and word processors.
* Educated to degree level or equivalent is desirable
* Appropriate professional examinations:
o Studies/examinations in compliance related subjects
o Studies/examinations in financial services subjects
* Investigative and problem solving skills.
* Well organised, able to work to set targets, and show a flexible attitude to achieve results while working as part of a team.
* Ability to work on own initiative and with a high degree of independence, a self-starter and highly motivated.
* Strong written and verbal communication skills.
* Ability to engage with the full range of business functions.

Working with 2 others within compliance monitoring and closely with compliance advisory within investment management, your role includes the following:
* Cooperatively working as part of an experienced and diverse Compliance department.
* To work as a key member of the second line of defence and work closely with the first line whilst maintaining independence.
* Performance of regular monitoring reviews with exceptions to be investigated in respect to areas such as financial crime, market abuse surveillance, best execution, transaction reporting, CASS and conflicts of interest.
* Reporting of concerns, issues and other findings accordingly.
* Additional monitoring activities to include departmental thematic and desk-based reviews including writing reports.
* Formulating actions and engaging with stakeholders to track the recommendations to their resolution.
* Undertaking root cause analysis.
* Attend and contribute to team and inter-departmental meetings.
* Maintain an organised and accurate system of records to manage all data within the Compliance team to ensure information is readily accessible, searchable and up-to-date.
* Collation of data to populate key risk indicators and MI for relevant committees.
* Ensuring the output of work feeds into risk assessments, policies, procedures and the design of controls to proactively support the compliance framework and enhance the culture within the business.
* Assist the Compliance Monitoring Manager in completion of the Compliance Monitoring programme.