A top banking organisation is looking for a Compliance Monitoring specialist to join their compliance department. As part of the team you will work in a cohesive manner to ensure the business controls are fit for purpose and in line with regulatory obligations to the FCA.
- Provide expert technical advice in regards to compliance and its application to markets/front office controls.
- Planning and carrying out reviews of functions in accordance with the planned review schedule and on a thematic risk-based approach.
- Providing compliance subject matter expertise and support for the monitoring team working with the team to identify adverse trends, poor controls and systemic risks
- Drafting and issuing reports of each functional review
- Recording and tracking the implementation of review recommendations
- Producing Management Information (MI) in relation to the reviews undertaken
- Compliance experience
- Experience working in relevant market/context, i.e. background in compliance, preferably including monitoring and testing, risk, audit or control functions
- Minimum of 1-3 years in compliance monitoring.
- Self-awareness with confidence to work independently and take responsibility for own development
- Able to present to senior management.