FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Monitoring Officer - Private Bank - £45-65k

I am partnered with a private bank to recruit a Compliance Monitoring Officer for their London office. The ideal candidate will support the strategy of the Compliance team to ensure that the continuous maintenance of its regulatory requirements.

JOB TEXT

I am partnered with a private bank to recruit a Compliance Monitoring Officer for their London office. The ideal candidate will support the strategy of the Compliance team to ensure that the continuous maintenance of its regulatory requirements.

Key Responsibilities:

  • To carry out reviews, as allocated, in accordance with the Compliance Monitoring Plan, raising issues where appropriate and seeing those issues through to resolution.
  • Assisting with the sign-off, checking and monitoring of new accounts.
  • To be responsible for identifying training needs and assisting with the provision of the Compliance training plan across the Bank and contribute by delivering training to the business.
  • To be actively involved in business and compliance projects, ensuring that all regulatory requirements are met.
  • To be responsible for the maintenance of allocated compliance policies and procedures.
  • To be responsible for the reviewing and assessing FCA and PRA consultations, discussions papers etc, as allocated providing feedback to the team and Senior Management.
  • To assist in the preparation and submission of FCA and PRA returns, and applications, ensuring they are completed in a timely fashion.
  • To proactively engage with professional bodies and trade bodies in order to enhance your own and the firm's knowledge base.
  • To ensure that you maintain knowledge of the regulatory environment and where relevant technical knowledge, as relevant to the firm and its subsidiaries.
  • To assist with Internal Audit reviews.


Desired Experience:

  • Relevant experience working within a Compliance role, ideally within the Banking/Wealth Management sector.
  • Clear, practical understanding of FCA regulation and all other relevant regulations to the firm.
  • A recognized Compliance Qualification would be advantageous
  • Ability to work with stakeholders at all levels of the business.
  • Team player, supporting both your colleagues and managers in delivering business in line with regulatory requirements.
  • A practical understanding of Excel spreadsheets, access databases and web-based applications.
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  • Negotiable
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Charles Levick
  • 2019-07-20