Summary: The Compliance Monitoring Officer is tasked with conducting compliance monitoring reviews and producing detailed reports while supporting the Compliance Monitoring Plan's development and tracking. The role requires effective communication of findings and collaboration with other compliance functions. The officer will also assist in maintaining the Compliance Monitoring Manual and provide updates to senior management. Experience in compliance monitoring within asset or wealth management is preferred.

Key Responsibilities:

• Conduct comprehensive compliance monitoring reviews, including thematic and desk-based periodic reviews.
• Ensure thorough evidence gathering and record-keeping.
• Communicate findings effectively, both verbally and in writing, and track remedial actions.
• Support the development and tracking of the annual Compliance Monitoring Plan.
• Conduct compliance risk assessments.
• Assist in drafting, coordinating, and maintaining the Compliance Monitoring Manual.
• Provide senior management with relevant information on the plan's progress.
• Collaborate with other compliance functions to standardise policies and procedures.
• Deputise for the Head of Compliance Monitoring when necessary.

Key Skills:

• Experience in compliance monitoring, internal audit, or a compliance function, preferably in asset or wealth management.
• Strong understanding of FCA rules and guidance, including Consumer Duty, MiFiD regulations, UCITS fund products, regulatory frameworks, SMCR, and Market Abuse Regulations.
• Proven task and project management skills.
• Ability to prioritize and manage multiple projects simultaneously.

Salary (Rate): 400

City: City Of London

Country: United Kingdom

Working Arrangements: undetermined

IR35 Status: undetermined

Seniority Level: undetermined

Industry: Other