Compliance Monitoring/Assurance Officer Compliance Monitoring/Assurance Officer …

Goodman Masson
à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 24 sept. 21
GBP40000 - GBP54000 per annum
Goodman Masson
à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 24 sept. 21
GBP40000 - GBP54000 per annum
A pension fund in London are seeking a permanent Compliance Assurance/Monitoring Officer to join their team.

A pension fund in London are seeking a permanent Compliance Assurance/Monitoring Officer to join their team.

As a Compliance Assurance Officer, you will sit within the Compliance team, reporting to the Head of Compliance. The role supports ensuring compliance with the FCA regulatory and the organisations Operational Framework requirements, through the monitoring and testing of processes, procedures and business activities to provide assurance of adherence by the firm to the requirements.

Responsibilities:

  • Producing daily MI reports, monitoring Takeover Panel changes, analysing custodian records and Bloomberg message alerts and compliance rule violations and escalating to Head of Compliance where corrective action required
  • Carrying out daily best execution monitoring and market abuse checks on transactions and escalating concerns to Head of Compliance
  • Maintaining Personal Account Dealing and Gifts & Hospitality registers and producing regular analysis reports of Personal Account trading activity / Gifts & Hospitality notifications
  • Carrying out ongoing monitoring in accordance with the Compliance Monitoring Programme. Escalating to Head of Compliance and working with the business to resolve any issues identified

Requirements:

  • FCA Regulatory knowledge
  • Internal audit or assurance experience
  • Good level of understanding of how compliance integrates with other areas within the business
  • Able to develop compliance assurance reports
  • Compliance monitoring expertise
  • Investment Management/OPS experience would be desirable but not essential

Please note the requirements stated and if you match them, please apply through the link or send your CV to lauren.ashwood@goodmanmasson.com

Descriptif de l'entreprise

With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.

We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.

 

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