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Compliance Monitoring Assistant

Eingestellt von McGregor Boyall

Projektbeschreibung

OVERVIEW OF ROLE

The vacancy is for a compliance monitoring manager in the Wealth Management Compliance Team to lead and participate in monitoring reviews within business units and central functions. The job will include all parts of the monitoring process, including planning, fieldwork and testing, agreeing findings with business and various stakeholders, report writing and follow up. The jobholder will be expected to work flexibly and cover all aspects of compliance regulation covered in execution of the monitoring reviews and surveillance testing as per WM Compliance Monitoring programme.

The primary responsibilities of the role are in summary as follows:

- Conducting reviews and surveillance testing - undertake risk-based compliance monitoring of Wealth Management regulated activities efficiently and to a high professional standard, including sample testing and fieldwork as required, keeping relevant parties informed of progress as agreed with Head of Compliance Monitoring. Maintain well-organised records of review work and testing undertaken, and of progress against the overall UK Wealth Management compliance monitoring programme.
- Reporting - present and discuss initial findings with Head of Compliance Monitoring and Wealth management compliance management, business heads, dealing with any challenge in a constructive and professional way. Draft or review reports of compliance monitoring findings in a timely manner, for review by Head of Compliance Monitoring and compliance management.
- Tracking - keep management informed and the compliance monitoring plan updated with progress. Ensure monitoring findings are recorded in appropriate systems and follow-up with business management on the resolution and closure of open issues.
- Risk assessments - periodically review and update the UK Wealth Management compliance risk assessment and regulatory analysis, which forms the basis of its compliance monitoring programme.
- Collaboration - liaise with colleagues in UK WM Compliance, Group Compliance, Risk and Internal Audit regarding monitoring plans, reviews, findings, themes and controls issues. Strive for a positive, collaborative and constructive approach with all business colleagues.
- Delivery - deliver the UK Wealth Management monitoring programme. Drive forward compliance monitoring reviews and tasks to completion, in accordance with the Group's Global Compliance Monitoring Standards. Apply vigilance, inquisitiveness, good judgment and common sense in all monitoring activities. Promote awareness across the firm of high standards of risk management. Be willing to challenge management and existing processes in light of higher regulatory standards and expectations.
- Administration - ensure that well-organised files are maintained of review work undertaken to evidence completion of monitoring plan and findings. Assist preparation of compliance papers for various committees and boards in relation to monitoring; oversee maintenance of related department spreadsheets, data and records.

ESSENTIAL SKILLS

- Experienced in managing and performing audit or compliance monitoring
- Ability to multitask or manage a number of reviews at the same time.
- Ability to provide information in report format
- An enquiring mind, with the ability to assimilate and interpret information quickly
- Technically capable with a strong interest and appetite in being up to date and assessing industry and regulatory trends specifically, job holder will have extensive knowledge and experience in one or more of the following areas:
-Financial Crime (KYC/AML)
-Suitability
-discretionary portfolio management
-Operations
- Reliable, proactive and well organised
- Thorough and with good attention to detail
- Assertive, inquisitive, willing to challenge
- Excellent judgment
- Excellent written and oral communication skills, with ability and confidence to interact with and influence senior management
- Strong people management skills
- Proficient in use of Excel, PowerPoint, Word, Outlook and Internet
- Able to work to tight deadlines and remain calm under pressure
- Ability to work effectively and collaboratively within a team environment
- University qualification and audit or other relevant professional qualification

McGregor Boyall is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

  • Kategorie:

    Sonstiges

McGregor Boyall