MERJE are currently supporting a fast growing trading platform in their search for a Compliance Monitoring specialist in London.
- Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
- Identify any gaps or weaknesses in the Plan and propose remedial actions.
- Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process.
- Document the findings, recommended actions and management responses together with agreed timescales and action owners.
- Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager,
- Track business unit actions to mitigate risk and support continuous improvement across the business.
- Support the wider compliance team with ad hoc tasks as required.
Experience/Skills/Qualifications:
- Minimum 2 years of relevant Compliance Monitoring experience ideally gained within a stockbroking/trading environment
- Good interpersonal skills and ability to interact with people at all levels
- Strong drafting and report writing skills
- Ability to work on multiple projects simultaneously
- Work collaboratively with all business areas as well as building strong relationships with key business partners;
- Able to work both independently and as part of a small cohesive team;
Applicants must be located and eligible to work in the UK without sponsorship.
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