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Compliance Executive – Monitoring (FT Contract)

Information About This Job

Job Title: Compliance Executive – Monitoring (FT Contract)
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: about 2 years ago

Job Description

Compliance Executive – Monitoring (Maternity Cover)


About The Role

The purpose of the position is to undertake compliance monitoring reviews throughout the UK and Irish regulated entities and corporate fund structures by independently monitoring activities against relevant regulations, codes and internal policies and procedures. The monitoring reviews will consist of regular surveillance activities, monitoring activities and thematic monitoring reviews in accordance with structured risk-based compliance monitoring programmes. The incumbent of this position will report directly to the Compliance Monitoring Manager.


Key Responsibilities

  • To assist in the development of robust risk-based compliance monitoring programmes and procedures across all regulated entities.  This to include on-going guideline surveillance, monitoring and one-off themed investigations. 
  • Contribute to the maintenance of a regulatory risk assessment to underpin and prioritse the activities of the Compliance Monitoring  component of the EMEA Compliance Function.
  • In conjunction with the Compliance Monitoring Manager, collate, analyse and record management information in preparation for undertaking guideline surveillance, monitoring and one-off themed investigations of all regulated entities.
  • To undertake guideline surveillance, face to face and/or desk based compliance monitoring reviews of all business in accordance with approved risk-based compliance monitoring programmes.
  • Assist in the preparation of formal reports in accordance with agreed format following completion of surveillance, face to face and/or desk based compliance monitoring reviews.  In conjunction with other senior members of the Compliance Function and the Compliance Monitoring Manager, assist in the presentation of the report findings in a constructive and professional manner and assist the regulated entities in identifying solutions to monitoring findings.
  • Monitoring remedial action arising from monitoring reviews undertaken and report on progress made to complete such action, particularly with regard to unsatisfactory resolution of issues identified.
  • To create well documented files to support compliance monitoring activities, findings and remedial action.
  • Projecting and fostering a supportive compliance culture within the Group.


Knowledge / Experience

  • Experience of working in a monitoring environment, developing and delivering robust risk based compliance monitoring programmes across a diverse group of regulated entities.
  • Experience of successfully delivering thematic monitoring reviews
  • Knowledge of FCA rules (e.g. PRIN, SYSC, APER, COBS).  
  • Knowledge of UCITS
  • Knowledge of EU Directives (e.g. MiFID, EMIR) an advantage. 
  • Excellent communicator, both in person and in writing.
  • Ability to express regulatory concepts/rules in a clear and concise manner.
  • Excellent interpersonal skills, tough and resilient personality.


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