Compliance and Monitoring Officer

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Liberum
  • 11 Apr 19

Independent Investment Bank seeks experienced Monitoring Officer to join the Compliance Team.

Application Process: To apply for this job, please visit our careers portal https://career.liberum.com

We are recruiting for an experienced Compliance and Monitoring Officer to join our growing team of four. The ideal candidate will support the Compliance function in ensuring that the business is adhering to all applicable policies and procedures, whilst also assisting in maintaining and updating risk assessments across the business, and providing advice as required.

Applicants should have at least two years’ experience in a similar role, although Investment Banking experience is not essential. We are offering a competitive salary with discretionary bonuses, equity and a wide range of employee benefits.

 

Reporting to: 

Head of Compliance

 

Key Responsibilities:

  • Conduct Compliance Monitoring testing programmes
  • Carry out regulatory testing
  • Provide solutions for any weaknesses in the control framework, maintaining regulatory requirements.
  • Provide advice to the business on regulatory matters as required, with a thorough understanding of the Market Abuse Regime.
  • Review and analyse publications from the FCA and other bodies to determine their relevance to Liberum and its operations.
  • Provide standardised reports in line with findings from monitoring reviews and help in the production of reports for senior management including the Risk and Regulatory Committee.
  • Provide training to the business as and when required.
  • Ad hoc compliance reviews – potentially covering all areas of the business
  • Ad hoc duties and support to all areas of the business.
  • Maintaining Conflicts and Breaches registers.

 

Key Relationships:

Compliance & Operations team

Co Sec & Legal team

Back office staff

Management team

 

Employment Terms

Permanent contract after 3 month probationary period

42.5 hours per week, 7:30am – 5:00pm

5 weeks holiday

Access to comprehensive benefits package, including healthcare, gym membership and pension

 

Skills, Attributes and Credentials

Essential

Able to work within a team and independently

Able to demonstrate a proactive and innovative attitude to tasks 

Able to interact with different levels of seniority within the firm

Proven Compliance Monitoring experience (minimum 2 years)

Strong attention to detail

Excellent interpersonal and communication skills both written and verbally

Able to effectively prioritise work

 

Desirable

Investment Banking experience

 

Background:

Liberum’s clients have high expectations whether they use us for their investment banking or equities needs. Created in 2007 to provide a better service than larger investment banks, our 165 staff in London and New York own the business and set out to do what’s right for clients.

The core activities are:

  • Research, Sales and Trading – large cap European equities, small and mid-cap European equities and investment funds
  • Market Making – small and mid-cap UK equities and investment funds
  • Investment Banking – IPOs and secondary issues, M&A advice.