- London, UK
- Full-time employment
- Apply by 13 Nov, 2018
- Start date:
- Visa Sponsor
This industry leading financial services firm currently seek an experienced Compliance officer with a strong legal background.
Reporting into the Compliance Manager, your position will involve assisting with the maintenance sufficient policies, procedures and controls to identify, prevent, mitigate and manage regulatory risk.
ROLE AND RESPONSIBILITIES
Plan and undertake Compliance monitoring reviews of business and support functions in London, as part of the Compliance Monitoring Plan.
- Additionally, the position requires the candidate to take responsibility for identifying and delivering training on regulatory topics across the business and generally assisting the Compliance Department across UK and Europe in delivery of its objectives.
- As and when required the position requires the candidate to assist in the completion of delegated Business as Usual tasks.
- Plan and undertake the execution of compliance desk reviews/risk-based monitoring in accordance with an established review plan.
- Carry out thematic reviews of Compliance topics across the business
- Work with the business units to develop a good understanding of their strategy, services and products
- Review audit and regulatory findings, identifying key issues for risk rating purposes