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Compliance Monitoring Associate - 14 Month Fixed-term Contract

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Title: Compliance Monitoring Associate - 14 Month Fixed-term ContractLocation: LondonOverall Purpose of RoleThe primary focus of the role is to support the Head of Compliance Monitoring to deliver the monitoring plan through the delivery of thematic and desk based reviews. You will act as a trusted member of the Monitoring and Core Compliance team, performingcore compliance operational activities and providing timely, sound and pragmatic advice and guidance on regulatory matters and business queries/development that the team are involved. This is a broad role with exposure to all parts of the business.Principal Responsibilities

  • Undertake detailed thematic and desk-based (internal and external) Compliance Monitoring reviews, ensuring they cover key risk issues and regulatory requirements including financial crime.
  • Determine appropriate recommendations arising from monitoring and surveillance tasks and work with the business to ensure timely completion
  • Perform surveillance tests in accordance with the surveillance plan and ensure individual tests remain appropriate to the nature of the business. (eg best ex, call/electronic communications, MAR, conflicts)
  • Supporting Financial Crime Compliance obligations including AML, ABC, Fraud, KYC
  • Timely review of marketing material submitted to compliance by the business for distribution to clients and prospects
  • Operation of the Insider Trading List and market soundings process
  • Perform / oversee core compliance tasks such as Gifts & Entertainment; Personal Account Dealing; breaches; complaints; Regulatory returns; due diligence questionnaires; outside business interests; delivering relevant training to the business
  • Assist the HoCM to ensure compliance monitoring procedures are maintained for regulatory updates, changes to business practices and periodic reviews
  • Perform compliance tasks as directed by the HoCM and the Head of Compliance (Europe)
  • Work closely with the US Compliance team as required in global mattersPerson Specification
  • A self-starter with relevant compliance / monitoring / financial crime experience. (Will consider applicants with other relevant asset management experience)
  • Proactive and solution oriented with good communication skills (writing and oral)
  • Good report writing abilities with an ability to articulate issues clearly and concisely
  • Problem solving and decision making skills
  • Proven experience in the UK Financial Sector, with a strong background in Compliance assurance and rules
  • Sound understanding of MAR, COBS, MIFID II, UCITS, AIFMD
  • A compliance qualification would be a distinct advantage
  • Ability to manage workloads effectively

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