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Senior Compliance Monitoring Associate

Senior Compliance Monitoring Associate

Broadgate Search Ltd

Posted 9 hours ago, valid for 14 days

Dulverton, Somerset TA22 9HL, England

Full Time

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Sonic Summary

The Senior Compliance Monitoring Associate position is located in South West England with a hybrid work model requiring two days in the office each week.
The role involves conducting compliance reviews, assessing risks, collaborating with teams, and preparing reports for senior management.
Candidates should have experience in compliance monitoring within financial services, preferably in a 2nd line role, and a background in wealth or investment management is desirable.
Relevant qualifications such as the CISI Compliance Diploma and knowledge of regulations like AML, KYC, MiFID, and GDPR are required.
The salary for this position is competitive, and candidates should have a minimum of two years of relevant experience.

Senior Compliance Monitoring AssociateLocation: South west England (Hybrid 2 days a week in office)Great opportunity where you will assist with monitoring and assessing compliance with all relevant laws, regulations and policies internally reporting into the Head of Compliance.Responsibilities:

Conduct compliance reviews to ensure adherence to laws, regulations, and internal policies.
Assess compliance risks and develop monitoring plans.
Collaborate with teams to ensure regulatory compliance and implement corrective actions.
Analyse regulatory changes and update monitoring programs accordingly.
Prepare and present compliance reports to senior management.
Promote a culture of compliance and ethical awareness across the organisation.

Requirements:

Experience in compliance monitoring within financial services (2nd line role).
Previously work in a wealth/ investment manager (open to broader FS background)
Relevant qualifications (e.g., CISI Compliance Diploma).
Knowledge of regulations such as AML, KYC, MiFID, GDPR.

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