Compliance Monitoring Officer Job Description Template
Our company is looking for a Compliance Monitoring Officer to join our team.
Responsibilities:
- Ensure completeness of evidence gathered and record keeping associated from testing, on which findings and conclusions are clearly based;
- Deliver assigned monitoring reviews, either at an individual or multiple regulated entity level, to a high standard and to agreed timescales;
- Deputise for the Monitoring Manager when required;
- Develop Terms of Reference/Scope documents for reviews assigned, undertaking fact finding to identify key risks and controls for inclusion;
- Provide regulatory monitoring within the specialist regulated entity;
- Investigate on the daily basis alerts in trade surveillance system;
- Carry out trade surveillance monitoring to detect market abuse or improper trading behaviour;
- Conduct reviews in accordance with the Compliance Monitoring Plan;
- Assisting with PA Dealing approvals and monitoring of the Restricted and Watch Lists;
- Drafting STORs when required;
- Assist in responding to regulatory enquiries.
Requirements:
- Strong knowledge and exposure to Investment Management, Life & Pensions or Financial advice;
- Excellent communication and interpersonal skills;
- Excellent UK regulatory knowledge particularly FCS exposure;
- Experience within Compliance Monitoring, Assurance or Audit;
- Strong planning and analytical skills;
- Sound knowledge of UK regulatory framework;
- Level 4 Diploma qualified at a minimum;
- 3 years financial services industry experience, of which 1 year should involve regulatory experience in relation to client file reviews.