Discover your dream Career
For Recruiters
Alexander Ash Consulting

Compliance Monitoring

Alexander Ash Consulting London, United Kingdom
Posted 4 months ago Permanent £65k - £75k
J
Posted by
Jagdeep Dhinsa
Senior Recruiter
Compliance Monitoring Officer £65,000 - £75,000 London

Responsibilities:

As a Compliance Monitoring Manager you will:

  • Design an annual monitoring plan to ensure all areas covered in frequency as to both regulatory expectations and client requirements
  • Ensure above takes into consideration higher risk areas after discussion with senior management 
  • Design (or ensure designed) detailed monitoring programmes across all relevant areas and also ensure when regulations/SOPs change, such programmes are properly updated
  • Liaise with such area as to when convenient and allocate relevant staff to complete (both UK & offshore)
  • Review findings and ensure split between systems issues and actual regulatory breaches (then in line with other colleagues consider if breach so serious needs to be immediately reported to client and/or regulatory authorities)
  • Investigate cause of all breaches & issues, suggest remedial actions and SOP/control enhancement
  • Ensure all above discussed with management and report issued
  • Ensure all follow up actions agreed and appropriately implemented
  • Manage, mentor and train UK team & offshore Team  
  • Assist in client visits

Mandatory Skills:

  • Previous experience of compliance monitoring (or external or internal audit if also covered regulatory requirements) of retail investments (and willing & able to quickly pick up pensions aspects if not covered before)
  • Previous staff management experience including allocation of resources

 

Job ID  JD-3103 -
ABOUT COMPANY
London, United Kingdom
HR & Recruitment
We exist to provide an exemplary quality of service to those who partner with us via our close-knit, long-term relationships.We facilitate access to t...
More jobs From Alexander Ash Consulting
Alexander Ash Consulting
External Audit Manager - Life Insurance
Alexander Ash Consulting
London, United Kingdom
3 months ago Full time £75k - £90k
Alexander Ash Consulting
Programme Manager – Corporate Banking – Business Change
Alexander Ash Consulting
London, United Kingdom
2 days ago Full time £600 - £700
Alexander Ash Consulting
Data Engineer – Snowflake / AWS – Financial Markets
Alexander Ash Consulting
London, United Kingdom
1 month ago Full time £600 - £650
Alexander Ash Consulting
Internal Audit Manager
Alexander Ash Consulting
London, United Kingdom
9 months ago Full time Competitive Day Rate - PAYE
Alexander Ash Consulting
EMIR/CFTC Business Analyst
Alexander Ash Consulting
London, United Kingdom
16 days ago Full time DAY RATE PAYE
Alexander Ash Consulting
CFTC Specialist
Alexander Ash Consulting
London, United Kingdom
27 days ago Full time £500 - £700
Alexander Ash Consulting
React Native Developer
Alexander Ash Consulting
London, United Kingdom
7 months ago Full time £75k - £100k
Alexander Ash Consulting
Java / Scala Developer - Trade Management
Alexander Ash Consulting
London, United Kingdom
1 month ago Full time £750 - £800
Alexander Ash Consulting
Quantitative Developer – Python – Financial Markets
Alexander Ash Consulting
London, United Kingdom
1 month ago Full time £450 - £500
Alexander Ash Consulting
Asset Servicing Consultant
Alexander Ash Consulting
London, United Kingdom
2 months ago Full time £550 - £650

Boost your career

Find thousands of job opportunities by signing up to eFinancialCareers today.
More Jobs Like This