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Compliance Monitoring Officer

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

Job Description

Key Responsibilities

  • Responsible for carrying out monitoring reviews to determine whether key business processes and controls are designed and operating effectively to ensure compliance with key regulations and legislation. This will include communicating effectively withbusiness functions through the life cycle of a review from issuing a term of reference through to closing actions because of the findings identified. (Primarily focused on Investment key processes)
  • Utilise key systems to carry out core monitoring activity (e.g., monitoring of shareholding disclosures, market conduct surveillance).
  • Support in the design, implementation, and maintenance of training content for staff to ensure it remains appropriate, including those with different learning preferences.
  • Working with the Senior Compliance Manager to develop the methodology for determining what reviews will be included in the Compliance Annual Plan, using a risk-based approach.
  • Support in the production of the Compliance MI pack and any associated root cause analysis and/or key trends across compliance with key policies and processes.
  • Ensure that any regulatory filings are accurate and reported within reporting timeframes.
  • Maintaining an understanding of key regulatory requirements applicable to USSIM (primarily FCA, but could include other jurisdictions).
  • Build and maintain strong relationships with colleagues within the Investment, Operations, Risk and Group General Counsel teams.
  • Support management of conflicts of interest for the business via various compliance workflow processes such as PA dealing, Restricted List, and Gifts and Hospitality.
  • Work closely with other members of the Group Compliance team – including on training, project work, and input to other general compliance matters as per the compliance remit.
  • Identify new and emerging risks from business and regulatory developments and assess their impact on the monitoring programme.
  • Assist in internal and external audit queries.
Skills & Experience:
  • Sound knowledge and experience of asset management compliance monitoring and FCA regulatory concepts.
  • Experience of using systems for monitoring (e.g., Bloomberg or similar).
  • Experience of public markets shareholding disclosure filings, knowledge of FundApps (or similar systems) (further or top up training can be given).
  • Highly motivated with a willingness to develop business relationships at all levels in delivering pragmatic and proportionate compliance monitoring findings and actions.
  • Good communication, influencing and problem-solving skills.
  • Teamwork and good time management.
  • Data analysis and attention to detail.

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