Compliance Monitoring Associate

Our client are a growing Investment management firm. Their core business works alongside companion offerings from Wealth Management, Pensions and Alternative Investments, utilising innovative in-house software solutions.

Description

The Compliance Monitoring Associate will be responsible for:

• being part of the Second Line of Defence (2LoD) Compliance Monitoring team, assisting with all aspects of ongoing 2LoD compliance monitoring.

• The role will primarily be to support the Compliance Monitoring Manager including the following tasks:
• 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 2LoD monitoring reviews with exceptions to be investigated in respect to areas such as financial crime and suitability.
• 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.
• Attending and contribute to team and inter-departmental meetings.

Profile

The Compliance Monitoring Associate should have the following skills:

• 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 3 years compliance related experience.
• 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:

- Studies/examinations in compliance related subject

Job Offer

Salary of £40,000 -£55,000 plus attractive benefits package

Hybrid working