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Compliance Monitoring Senior Associate

Salary: £75,000 - London

The Role

To undertake in-depth private banking desk reviews and compliance monitoring in accordance to FCA and European legislation.

This position will play a vital role in delivering the control framework for an expanding and progressive business.  Assisting the Compliance Monitoring Manager on a day-to-day basis, including deputising where appropriate, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination and other assurance functions. 

Monitoring Responsibilities

Assist the Compliance Manager in all aspects of delivering the complaince monitoring programme

Carry out desk based and thematic reviews across the private bank, as part of the second line of defence.

Carry out monitoring tasks independently or in collaboration with other monitoring team members

Business-facing reviews of key business activities and adherence to controls

Composition of reports of completed reviews and monitoring activities

Tracking and follow up of recommendations and actions

Other Compliance Duties 

Large Holdings and Takeover monitoring (and reporting where relevant)

Transaction reporting

Reviewing, investigating and clearing system driven transaction monitoring alerts (daily and monthly)

Reviewing, investigating and clearing market abuse and best execution alerts

Staff dealing reviews

Gifts & Entertainment reviews

Experience, Skills and Competencies Required

Methodical, structured and rigorous approach to delivery

Strong problem solving and analytical skills

Excellent organisation skills

Ability to prioritise and work on own initiative.

Excellent oral and written communication skills

Ability to foster strong working relationships within the team and with the businesses

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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