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Compliance Monitoring Associate

Graduate at Michael Page International

Compliance Monitoring Associate

Graduate at Michael Page International

  • LocationLondon, UK
  • Position levelGraduate
  • Job period iconFull-time employment
  • Application deadline iconPosted on 11 Sep, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • CompetitiveCompetitive
To support the activities of the Risk & Compliance team and champion the embedding of a compliance awareness culture throughout the business.
Client Details
Wealth Manager.
Description
* To support the activities of the Risk & Compliance team and champion the embedding of a compliance awareness culture throughout the business.
* Focus on delivery of the Compliance Monitoring Plan, including adapting and developing this to meet changing requirements.
* Assist in the maintenance and enhancement of policies and procedures as required.
* Complete individual monitoring tasks as allocated from time to time, identifying findings, breaches or issues and escalating these as appropriate.
* Perform trend analysis to identify themes or issues to be investigated further.
* Providing challenge to the business, or internally to ensure good client outcomes.
* Identifying improvements and enhancements to existing processes.
* Take accountability and ownership for specific areas of the CMP, e.g. regular monitoring of Best Execution and CASS.
* Contribute to regular reports and MI on operational activity, findings, trends and any regulatory issues.
* Good understanding of FCA regulations.
* Find opportunities to proactively support and share knowledge with others for the benefit of the team.
* Prioritise workload and identify when support is needed to achieve goals.
* Identify and escalate issues as they arise and suggest solutions for resolution.
* Assess when to deal with an issue or when to seek involvement of a colleague (including line manager).
Profile
* Good standard of education in GCSEs or equivalent (must include passes in Maths and English).
* Higher level qualifications such as A Levels or Degree (or equivalents) are desirable.
* CISI or ICA qualifications are desirable.
* Prior relevant industry experience in for example Compliance, Risk, Audit, or possibly investment management, would be desirable.
* Demonstrates good technical knowledge of regulations, and of business processes and procedures relevant to role.
Job Offer
Competitive package.
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