Compliance Monitoring Thematic Reviews - London, United Kingdom - eFinancialCareers
Description
The role:
- Support the development of a risk based compliance monitoring programme
- Execute thematic reviews and develop test plans
- Identification of risk issues and make recommendations to the business where necessary
- Compliance monitoring experience, specifically thematic reviews
- Good knowledge and practical understanding of the FCA handbook
- Experience of a wide range of investment products including but not limited to (Equities, Fixed Income, Real Estate, Debt and Derivatives) (preferable)
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