Senior Compliance Monitoring Specialist

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Join to apply for the Senior Compliance Monitoring Specialist role at Jobs via eFinancialCareers

The Role

The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). The successful candidate will conduct compliance testing, including thematic and desk-based reviews, at a global level, while providing the business with insights and recommendations to improve regulatory compliance.

The Role

The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). The successful candidate will conduct compliance testing, including thematic and desk-based reviews, at a global level, while providing the business with insights and recommendations to improve regulatory compliance.

You will be responsible for :

• Assisting with the execution of the compliance monitoring plan
• Conducting and completing second line compliance monitoring reviews across all offices, including thematic assessments and desk-based periodic checks, to assess regulatory risks and business adherence to policies globally
• Maintaining accurate and comprehensive record-keeping of gathered evidence to support findings and conclusions effectively
• Providing Senior Management with relevant Management Information regarding the status and progress of the Compliance Monitoring Plan
• Investigating potential compliance breaches and work with the relevant local compliance team to implement corrective actions.
• Acting as a subject matter expert in compliance monitoring, offering advice and support to the firm’s business functions as needed.

Requirements

Seniority level

Seniority level

Mid-Senior level

Employment type

Employment type

Full-time

Job function

Job function

Finance and Sales

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