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Our client is seeking a Compliance Monitoring Specialist to join their dynamic team in London from either an asset management background or with investment banking experience for a 12 Month FTC (possibility to extend).
This is an exciting opportunity for someone looking to make a significant impact within a globally recognised financial institution. The role offers the stability of an international industry leader with the career trajectory of a growing business.
What you'll do:
As a Compliance Monitoring Specialist, you will play a crucial role in identifying, assessing, advising on, and monitoring compliance risk. Your responsibilities will include assisting in the delivery of the department's compliance desk and thematic monitoring programme. You will conduct individual reviews as per the annual compliance plan, identify key risks related to regulatory compliance and business activities, and research regulatory requirements applicable to review areas. Your ability to liaise effectively with business staff, collect and review evidence, document work performed, discuss findings with senior Compliance staff, prepare reports on reviews conducted, monitor progress in respect of actioning review findings, and maintain good working relationships with Compliance colleagues, business management and other control functions will be key to your success.
- Assist in the delivery of the Department's Compliance desk and thematic monitoring programme
- Conduct individual reviews in accordance with the annual compliance plan
- Identify key risks in relation to regulatory compliance and business activities
- Research regulatory requirements applicable to review areas
- Assist with the construction of the monitoring testing plan
- Liaise with business staff, collect and review evidence, document work performed
- Discuss findings with senior Compliance staff
- Prepare reports in respect of reviews conducted
- Monitor progress in respect of actioning of review findings
- Maintain good working relationships with Compliance colleagues, business management and other control functions
What you bring:
The ideal candidate for this Compliance Monitoring Specialist role will bring a wealth of experience from either an audit or consultancy practice or an Investment/Commercial Banking Compliance Department. You should hold a Bachelor's Degree or equivalent qualification along with a Legal/Accounting/Compliance qualification. An understanding of internal control structures within Investment/Commercial banks is essential, as is experience of developing and conducting control reviews. You should have a good overview of the UK/EU regulatory regime and be able to apply that knowledge effectively. Your analytical and problem-solving skills, coupled with your excellent communication and team working skills, will enable you to excel in this role.
- Bachelor's Degree or equivalent qualification
- Legal / Accounting / Compliance qualification
- Experience within an audit or consultancy practice or Investment / Commercial Banking Compliance Department
- Understanding of internal control structures within Investment / Commercial banks
- Experience of developing and conducting control reviews
- Overview of UK / EU regulatory regime and an ability to apply that knowledge
- Analytical and problem-solving skills
- Good communication and team working skills
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
