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Compliance Monitoring Specialist - London - TN United Kingdom



TN United Kingdom London

1 month ago
Description

Role Overview:

This 12-month fixed-term contract is for a Compliance Monitoring Specialist based in London. The ideal candidate will have a deep understanding of the investment management business model and process.

About the Role:

We seek a dedicated Compliance Monitoring Specialist to conduct independent, risk-based monitoring, themed reviews, and ad hoc reviews of procedures, business, and compliance processes. This role involves identifying and escalating potential compliance gaps related to laws, regulations, guidance, and company policies.

The successful candidate will produce clear, coherent, and succinct reports for senior stakeholders and oversee risk-based surveillance tasks to ensure that controls related to order/best execution, market abuse prevention, and conflicts of interest are effective.

Maintaining constructive relationships within relevant business areas and with other Compliance team members is essential.

Key Responsibilities:

Requirements:

What We Offer:

Inclusivity Commitment:

We welcome applications from all backgrounds and experiences. We encourage you to apply even if you don't meet every qualification. We support flexible working arrangements, including part-time and job sharing, and adapt locations, hours, and working patterns to suit our teams and customers.