Compliance Monitoring, Senior Associate - £Exc

Our client, a leading Outsourced Investment Office, have a fantastic opportunity for a Senior Compliance Monitoring Officer to join their team. The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). You will also have responsibility for compliance testing, including thematic and desk-based reviews at a global level, while providing the business with insights and recommendations to improve regulatory compliance.

Roles & Responsibilities

This position provides an excellent platform for developing compliance monitoring expertise in the financial services sector while contributing to the overall effectiveness and professionalisation of the firm’s compliance function within a fast-growing firm.

Support the execution of compliance risk assessments and contribute to the development of a risk-based and proportionate annual Compliance Monitoring Plan.
Conduct and complete second line compliance monitoring reviews across global offices, including thematic assessments and desk-based periodic checks, to assess regulatory risks and business adherence to policies globally.
Maintain accurate and comprehensive record-keeping of gathered evidence to support findings and conclusions effectively.
Provide Senior Management with relevant Management Information (MI) regarding the status and progress of the Compliance Monitoring Plan.
Monitor, track, and report on remedial action progress, providing guidance to management on implementing necessary improvements where required.
Act as a subject matter expert in compliance monitoring, offering advice and support to the firm’s business functions as needed.
Undertake additional compliance tasks and ad-hoc projects as required to support the broader compliance function.
Engage with third parties, including external auditors and consultants, to ensure regulatory alignment.

Experience & Qualifications

The ideal candidate will have approximately 5-6 years’ experience of operating in a compliance monitoring role within the Asset Management or Wealth Management space (or in an equivalent sub-sector focused role within consultancy) and has a good understanding of the UK regulatory environment (experience of other jurisdictions a positive).
Candidates will have proven experience in compliance monitoring (ideally in asset and / or wealth management).
Ability to work independently, managing a diverse range of matters while collaborating with the wider business across jurisdictions and escalating issues when and if necessary.
Excellent analytical skills with the ability to interpret regulatory requirements and assess their impact on business processes.
Strong communication and inter-personal skills with the ability to engage effectively with internal stakeholders across all levels of the business and our external partners in an international environment.
Well-organised with excellent attention to detail and strong time management skills, able to prioritise competing demands in a fast-paced environment.
A genuine interest in the financial services sector and a clear and articulate understanding of the regulatory environment and key risks impacting investment management businesses.

To hear more about this exciting opportunity, please contact Karen Consalvi on 020 7847 8874 or email your CV to karen@meredithbrown.com

Ref: KC1156005

Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.