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Compliance Monitoring Specialist London Inside IR35

Gibbs Hybrid
Job LocationLondon
EducationNot Mentioned
Salary£500.00 - £586.00 per day
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypeContract, full-time

Job Description

Compliance Monitoring Specialist - London - Inside IR35Prestigious London based Finance client requires a Compliance Monitoring Specialist to support the development and execution of risk-based compliance monitoring and due-diligence programmes. The role resides within the dedicated Compliance function supporting the centralised distribution and fund management business lines.

  • To work as part of the monitoring function supporting the development and execution of a business-wide compliance programme to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business to ensure that the regulated entities properly discharge their obligations under applicable laws, regulations and guidance.
  • Provide input to the compliance risk assessment (CRA) process to determine the focus of the annual testing programme, including ongoing maintenance of the CRA in response to emerging issues/events, both internal and external.
  • Provide input to scoping of review themes, identifying and researching relevant laws, regulations and guidance as necessary to gain background knowledge.
  • Design and execute test plans which reflect the review scope, reviewing business information, processes and controls to determine the effectiveness of arrangements in place for compliance, recording test output accurately and identifying issues/gaps and/or instances of non-compliance, escalating to immediate line manager and the Director of Risk & Compliance.
  • Participate in enterprise-wide "horizontal" monitoring initiatives organised by the central Compliance Monitoring functions.
  • Where required, make an active contribution to the corporate governance framework including management of control documents and logs, preparation of the materials for internal governance committees and legal entity board meetings.
    • Essential:
  • Compliance monitoring - Monitoring of the business, global monitoring framework
  • Supporting Investment management & fund management reviews
  • background - more compliance monitoring or audit (need to be used to review process)
  • CRA knowledge
  • Working with teams in London and Luxembourg
    • Click Apply now, to be considered for the Compliance Monitoring Specialist - London - Inside IR35 Required skills
  • Compliance Monitoring
  • Investment Banking

    • Keyskills :
    Compliance Moniting Investment Banking

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