Compliance Monitoring Manager - City of London, Greater London, United Kingdom - Morgan McKinley

Description

Duties and Responsibilities

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1) You will assist in the delivery of the Department's Compliance desk and thematic monitoring

programme, including:

• Planning and conduct of individual reviews in accordance with the annual compliance plan;
• Identification of key risks in relation to regulatory compliance and business activities;
• Construction of testing plan;
• Liaison with business staff, collection and review of evidence, documentation of work

performed;

- Discussion of findings with business management and senior Compliance staff;

Role Description

- Preparation of reports in respect of reviews conducted.

1. You will help to monitor progress in respect of actioning of review findings;
2. You will assist in the preparation of reports regarding the monitoring programme to the firm's

executive and board committees;

4) You will maintain good working relationships with Compliance colleagues, business

management and other control functions;

5) Co-ordination of work performed by other Monitoring team members and mentoring of

colleagues.