COMPLIANCE MONITORING ANALYST - MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE F...

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Job Description

COMPLIANCE MONITORING ANALYST - MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE FIRM REQUIRED

 

£54K + Bonus & Benefits                                                                      50%  Hybrid (Reading)

 

REF:4125D2

We are recruiting for our client, a leading Financial Services Group, seeking an experienced Monitoring Analyst. Reporting to the Head of Monitoring, duties include; 

 

  • Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
  • Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
  • Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
  • Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
  • Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process.

You should have previous experience in compliance monitoring, ideally in an asset/wealth management firm or a retail financial advice firm with good working knowledge of FCA rules.

Great opportunity to join rapidly expanding Company at an exciting time with plenty of opportunities for internal progression.  NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

    The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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Location:
Reading
Category:
Business

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