Compliance Monitoring Associate - Asset Management

As a Compliance Officer within the Second Line of Defence, you will perform monitoring and oversight activities to ensure the business complies with regulatory requirements, identifies risks, and maintains effective controls. The role involves working closely with stakeholders across the business, conducting reviews, managing incidents, producing reporting and MI, and supporting the ongoing development of the firm's compliance framework.

Client Details

Asset Management.

Description

• Conduct regular compliance monitoring and testing across a range of regulatory areas, including suitability, Consumer Duty, best execution, transaction reporting, CASS, and conflicts of interest.
• Identify, report, and escalate compliance issues, concerns, and risks to senior compliance management where appropriate.
• Carry out thematic and desk-based reviews and prepare clear, concise reports.
• Assist with the delivery of the Compliance Monitoring Programme (CMP).
• Keep up to date with regulatory and industry developments.

Profile

A successful Compliance Monitoring Associate should have:

• Previous experience in a Compliance Monitoring, Compliance Advisory, or Risk & Compliance role within financial services.
• Previous experience working within Asset Management or other Buy-Side firm.
• P...