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Compliance Monitoring Officers X 3

Eingestellt von Costello & Reyes Limited

Gesuchte Skills: Support, Consultants

Projektbeschreibung

Our Client, a global Wealth Management firm is looking to increase there team of Compliance Monitoring Officers.

The successful consultants will be tasked with:

Reporting to the Group Compliance Monitoring Manager and providing reports and results of independent risk-based monitoring to all businesses in the Group. Assessing those businesses' adherence with relevant rules, regulations, codes and internal policies and procedures. The role includes working with the Group Compliance Monitoring team and where necessary, specialist external compliance monitoring assistance to perform both regular surveillance activities and thematic monitoring reviews in accordance with a structured risk-based compliance monitoring programme.

Responsibilities include:

- Assisting in the development and delivery of a robust risk-based compliance monitoring programme and procedures across all regulated businesses in the Group. This to include on-going and one-off investigations as may be required from time to time.
- In conjunction with the Compliance Monitoring team, collate, analyse and record management information in preparation for undertaking face to face and/or desk based monitoring of all regulated businesses in the Group.
- To undertake face to face and/or desk based monitoring reviews of all businesses in the Group and across all offices in accordance with the risk-based compliance monitoring programme.
- Assisting in the preparation of formal reports in accordance with agreed format following completion of face to face and/or desk based monitoring. In conjunction with other senior members of the compliance team and the Group Compliance Monitoring Manager, assist in the presentation of the report findings in a constructive and professional manner and assist the Group in identifying solutions to monitoring findings.
- Monitoring remedial action arising from monitoring reviews undertaken and report on progress made to complete such action, particularly with regard to unsatisfactory resolution of issues identified.
- Creating well documented files to support compliance monitoring activities, findings and remedial action.

You will need to have a good level of knowledge of FCA regulation with experience across multiple product/asset types in order to be considered for these position. 

These are urgent requirements that can either start immediately of wait for a short notice period therefore if you are interested, please do send your CV and contact William Rouse for further Information.

Costello & Reyes operate as both a recruitment business and recruitment agency for its clients.

Projektdetails

  • Vertragsart:

    Contract

  • Berufserfahrung:

    Keine Angabe

Geforderte Qualifikationen

Costello & Reyes Limited