Compliance Monitoring Specialist
Posted on Jul 3, 2019 by CV-Library
This team is responsible for providing first line assurance that the firm’s compliance processes are operating efficiently.
Reporting to the Compliance Oversight Manager, the Compliance Monitoring Specialist will take responsibility for:
* Monitoring both internal and external compliance behaviours of the company (identifying good and bad practices)
* Providing risk management expertise
* Working with senior stakeholders to ensure operational infrastructure operates effectively and that robust systems and controls are maintained
* Preparing and owning the annual quality audit plan, including compliance monitoring reviews, deep diving thematic reviews, business change reviews and controls testing
* Continually testing and reviewing framework performed by other parties such as Risk and Internal Audit
* Ensuring review work is appropriately documented
* Undertake root cause analysis and propose appropriate solutions and advice on remedial actions
* Oversight of compliance projects
The Compliance Monitoring Specialist will meet the following skillset:
* Background in wealth management, investment management or/and an IFA or Pensions business
* Experience of risk management, compliance monitoring, audit testing and/or testing controls
* Broad understanding of the investment management industry
* Adaptable to an ongoing changing environment and an active supporter of change
* Excellent working knowledge of Excel
This is an excellent opportunity for a Compliance Monitoring professional with extensive experience in the Wealth Management or Investment Management sector looking to propel their career. The company offers excellent company benefits and a dynamic working environment.
If you believe your experience meets the criteria, please apply with a copy of your CV.
Note, this is a highly competitive position. We receive a high volume of applications and are unable to respond to each CV.
Sellick Partnership is a market-leading professional services recruitment specialist operating across the UK. Over the years we have built up an enviable relationship with employers and our expert team of consultants boast up-to-date market knowledge and a strong reputation making Sellick Partnership best placed to help you. Please note our advertisements use years' experience and salary levels purely as a guide. We are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role. For information on how your personal details may be used by Sellick Partnership, please review our data processing notice which can be found in the footer on our website