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MERJE Ltd
,
Manchester, Greater Manchester
Compliance Monitoring Officer
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Job Type: Full-time |
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Salary: £40,000 per annum |
Overview
The Client: My client is a long established and highly regarded financial services organisation. The role: An exceptional opportunity has arisen for an experienced Compliance Consultant with experience of providing second line assurance through the delivery of a firms’ Compliance Monitoring Plan This role delivers an assigned programme of testing and monitoring activity across a range of regulatory handbooks; engaging with front and back office departments to ensure the firm can demonstrate it remains compliant with its regulatory obligations, delivering suitable and appropriate outcomes for clients. Key responsibilities: To carry out compliance monitoring of the functions carried out in front and back office departments against relevant rules and regulations applicable to the Group, including COBs, CASS and SYSC To actively manage and verify all actions being delivered by the business as a result of the compliance monitoring activity undertaken To undertake daily monitoring activity of trade as part of ongoing market abuse monitoring. Key Requirements: Understanding of suitability, client money and general principles of an effective banking control framework. Familiarity with COBs, CASS and SYSC Ability to take a section of regulation and design, then deliver testing against the rules and expectations. Experience of providing 2nd line assurance work against regulatory rules and regulation Salary range is broad and will be commensurate with experience but will reflect the significance of the role.