Compliance Monitoring Officer - Edinburgh

Allegis Global Solutions are the onsite recruitment partner at RBS and manage all contract and temporary opportunities for RBS M&IB (Markets and International Banking).

POSITION DESCRIPTION:

We have an outstanding contract opportunity for COMPLIANCE MONITORING OFFICER to make their mark with one of the world's largest international banking and financial services companies.

PURPOSE OF ROLE

To provide a high quality service within the Riskregulatory guidance provided.

ADDITIONAL POSITION DETAILS:

- Investigate, monitor and resolve potential FCA Regulatory breaches highlighted by Compliance Alert and MIG.
- Conduct manual reviews of Scheme Assets where appropriate, and identify, investigate and resolve potential regulatory breaches.
- Monitor Stock Lending activities of Schemes where appropriate and identify, investigate and resolve potential variances from the stipulated restrictions and/or FCA regulations.
- Record, resolve, and analyse confirmed breaches and breach trends using Breach Database.
- Reporting monthly and quarterly to FCA.
- Keep fully updated on FCA Regulatory changes and the impact on Compliance Alert, MIG and RCM team.
- Respond promptly to client queries and provide regulatory guidance where appropriate.
- Maintain Personal Development Plan and initiate training requirements.
- Complete half year self-appraisal report in accordance with the Performance Excellence Framework

CANDIDATES SHOULD HAVE THE FOLLOWING:

- Knowledge of Security Products & Markets.
- Knowledge of the FCA regulatory framework in relation to Collective Investment Schemes.
- Able to develop and introduce new procedures to improve efficiency.

Unless otherwise stated, you should ensure that you're already authorised to work in the United Kingdom. Allegis Global Solutions welcomes all applications from all areas of society and does not discriminate on grounds of religion or belief, ethnic or national origin, race, age, disability, citizenship, marital, domestic or civil partnership status, sexual orientation, or gender identity.

Allegis Global Solutions is acting as an Employment Business in relation to this vacancy.