Compliance Monitoring Officer - London, United Kingdom - Goodman Masson
Description
Responsibilties:
- Lead on the execution of the Compliance Monitoring programme via the development of test plans and the completion of reports.
- Monitor, track, and review evidence to close actions derived from Compliance Monitoring reports.
- Produce Compliance Monitoring MI for senior level committees.
- Contribute to the annual Compliance Monitoring risk assessment process.
- Review and enhance Compliance Monitoring processes
- Assist with business queries on Compliancerelated matters.
- Provide adhoc support to Line Manager and Compliance colleagues.
- Work with the wider Legal, Risk and Compliance teams, as required.
Skills:
- Previous monitoring or audit experience within a Financial Services firm would be an advantage.
- Strong reportwriting skills, to provide clear and concise reports for review
- Strong analytical skills and good attention to detail.
- Ability to work quickly and accurately to tight deadlines.
- Be a proactive individual with a "cando" approach.
- Ability to work with people at all levels.
- Good knowledge of the FCA handbook (e.g. COBS, COLL and/or CASS rules).
- In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you._
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