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Senior Compliance Monitoring Officer

Careers In Group
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A Wealth Management business is looking to recruit a Senior Compliance Monitoring Officer to join their growing business. The role will have 2 direct reports. Main Responsibilities

  • Manage, lead by example, guide and motivate junior members of team in their roles of executing test scripts as per the Compliance Monitoring Programme.
  • Devise and plan the Firms Compliance Monitoring Programme on an annual basis including the updating of associated risk assessments.
  • Develop and evolve the programme over time in line with changes within the business.
  • Improve the efficiency of testing with increased and intelligent use of data and, where appropriate, automated testing.
  • Responsibility for ensuring the team is logging all outstanding findings/recommendations and escalate matters not dealt with in a timely manner.
Job Requirements:
  • At least 5 years Compliance Monitoring experience, ideally within an Investment or Wealth Management firm.
  • Strong knowledge of the FCA handbook, in particular CASS and COBS.
  • Strong communication skills, comfortable working with all levels of staff across the business.
  • Professional qualifications, preferable.
Unless otherwise stated, candidates must have the right to work in the UK.The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot replyto every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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