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Compliance Monitoring Officer

Compliance Monitoring Officer

  • Location

    West End, London

  • Sector:

    Accountancy & Finance

  • Job type:

    Permanent

  • Salary:

    £55000 - £65000 per annum

  • Contact:

    Nigel Whelan

  • Contact email:

    Nigel.Whelan@wademacdonald.com

  • Job ref:

    26632/001_1550166445

  • Published:

    about 1 month ago

  • Expiry date:

    2019-03-12


Compliance Monitoring Officer - London - Asset management Company

Fantastic opportunity for a Compliance professional to work within an Investment / Asset Management Company. Reporting to the Head of Compliance, you will focus on maintaining and driving the completion of the Compliance Monitoring Programme and managing various day to day business queries and tasks.

Key responsibilities include:

      • Conducting risk based monitoring reviews,

      • Develop the Compliance Monitoring Programme;

      • Review and approval of financial promotions;

      • On-boarding of new client and counterparty relationships;

      • Assisting with GABRIEL returns;

      • To assist in developing and implementing an effective compliance culture throughout the Company;

      • Contributing to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement;

Skills and experience

  • 5 years+ experience working with compliance team within financial services

  • Educated to degree level

  • Strong technical knowledge of the FCA Handbook and relevant regulations

  • Strong organisational skills and ability to successfully manage multiple tasks proactively within a team environment

Please contact Nigel Whelan at nigel.whelan@wademacdonald.com 01189 559508

Applications are encouraged from all candidates meeting or exceeding the minimum criteria for the role regardless of age, disability, gender, orientation, race, religion or ethnicity.