Compliance Monitoring Manager - London, United Kingdom - Morgan McKinley

Description

Duties and Responsibilities

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.

2) You will help to monitor progress in respect of actioning of review findings;

3) 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.