Compliance Associate - London, United Kingdom - Compliance Professionals

Compliance Professionals

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

THE COMPANY:

Our client is a prestigious private wealth firm based in the West End.

THE RESPONSIBILITIES:

Review and closure of daily Market Abuse and Transaction Monitoring alerts working closely with the Front Office to ensure timely closure.
Escalation to the MLRO of any concerns.
Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures
Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
Investigate and report upon breaches of regulations
Assist with ensuring that compliance related Directives, Policies & Procedures remain up to date
Assist staff with interpretation of rules and assist in development of a positive compliance culture
Assist in maintaining standards of regulatory risk management through an effective process of risk identification, assessment and mitigation
Assists in production of appropriate MI
Daily completion of compliance monitoring tasks in accordance with the CMTP
Manage the completion of multiple simultaneous reviews where required
Providing output for monthly Senior Managers Compliance Committee and Risk Committee
Assisting and covering for other members of the Compliance department as required
Assisting with inputting and submitting PRA/FCA registrations of all approved persons
Assisting with induction training and ensuring all compliance forms have been signed
Support with regulatory reporting
Assist with compliance approvals

EXPERIENCE REQUIRED:

Experience of working in a financial services industry Compliance Department covering monitoring of Private Banking activities (including transactions)
Experience of producing compliance risk assessments
Proven track record of report writing on the results of compliance monitoring and testing.
Strong stakeholder management experience

For further information please contact Natalie Eshelby