Purpose of the role:
You will conduct compliance monitoring activity and act as advisor to the business and clients on various regulatory matters.
Responsibilities:
- Promote awareness of, and compliance with, the jurisdictional regulation, legislation, and codes of practice, in conjunction with policies and procedures
- Undertake monitoring activity to support the Compliance Monitoring Programme (“CMP”) to the standard required and the relevant regulatory authority, being completed within the planned time frame
- Draft reports on the outcome of the monitoring activity completed, including the documenting of findings/observations, and communicating to the relevant Client Facing Teams (CFT) In order to agree remediation activity in a timely manner
- Support relevant Compliance Officer in the preparation of accurate and timely Client board reporting/documentation, liaising with relevant CFT to obtain supporting information as required
- Act as a point of contact for the CFT’s on various regulatory matters
Skills required:
- Proven experience in a compliance role within the financial services sector
- Experience and knowledge of Funds would be an advantage but not essential
- Able to demonstrate a team player attitude
- Good time management and organisational skills
- A self-starter with a high degree of attention to detail
- An analytical approach with good research skills