Compliance Monitoring Analyst - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

4 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Main Responsibilities:


  • Assist in the execution of the testing required as part of the Firm's annual Compliance Monitoring Programme.
  • Assist the Compliance Monitoring Officer to carry out testing by gathering data, documents and other Management Information as required.
  • Write up findings/recommendations, agree responses with the area under review and present the findings/recommendations as part of the Monitoring Report.
  • Record all recommendations and actions resulting from reviews undertaken and proactively chase these until resolution.
  • Provide adhoc support to the wider team as required.

Job Requirements:


  • Minimum 12 years Compliance Monitoring experience, ideally from within a Wealth Management business.
  • Degree educated
  • Excellent communication skills, both written and oral.
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