Compliance Monitoring Officer
£60,000 - £69,000 benefits and bonus
Joining a team of 6 and reporting to the Compliance Monitoring Manager assisting with the management and ongoing development of the Compliance Monitoring Plan. The role will involve dealing with the Front Office as well as generalist compliance duties. Training will be provided on areas where you might be lacking in experience.
Assisting the Compliance Monitoring Manager with high level risk assessment and updating
Working with the Compliance team in a generalist capacity carrying out a programme of
monitoring and reporting duties as required, including daily, monthly, quarterly, semi-annual, and annual monitoring.
KYC documentation review for accounts opening and other financial crime monitoring tasks.
Review and approval of Financial Promotions and Marketing material as required.
Financial crime monitoring and screening using Lexis Nexis Bridger XG and maintenance of
PEP records, etc.
Assisting with enquiries from internal and external stakeholders.
Other ad-hoc project work as required, including thematic reviews.
THE SUCCESSFUL CANDIDATE
To be considered for this role you should meet the following criteria:
Broad Compliance monitoring experience ideally gained from a small to medium sized asset
manager or wealth manager.
Experience of dealing with the front office and therefore gravitas and ability is necessary.
Ambitious with a desire to progress and develop.
Intermediate MS Office. Excel skills particularly important. Have a good understanding and
practical experience of FCA, European or US regulators rules and requirements.
Analytical and project planning skills.
Exceptionally well organised and ability to manage and prioritise.
Excellent interpersonal skills (at all levels) including verbal and written communication.
Presentation skills (will be developed if necessary).