Purpose of the role:
To assist the Compliance Officer of the company and regulated client structures in the provision of compliance support.
Responsibilities:
- Oversight of the Compliance Monitoring function and its regulated clients, including the identification and delivery of training to any junior members of the team and ongoing analysis of duties undertaken
- Analysis regulated client Business Risks and the creation of a risk based schedule of CMP test plan execution for Board approval
- Execute CMP test plans and document CMP test results, actions and escalations
- In conjunction with the Compliance Officer(s), produce compliance monitoring reports including MI and statistical analysis of failures and issues to identify causes and remedial actions
- Acting as a Compliance Monitoring representative at Board and relevant committee meetings as and when required
Skills required:
- Compliance experience, ideally working in a Funds environment
- Professional Compliance Qualification at Diploma level preferable, but not necessary subject to relevant experience
- To have an attitude that inspires respect and to be capable of taking the lead
- A high level of tact, diplomacy and confidentiality is essential due to the nature of the work
- Working knowledge of Microsoft Office packages and applications, particularly Word, Excel and Access