We have a great new opportunity for a Compliance Monitoring Officer to join an investment research firm.
Key duties will include:
- Conduct in depth evidence-based compliance monitoring reviews in accordance with the annual Compliance Monitoring Plan to identify rule breaches, control weaknesses and issue risk graded reports identifying remedial actions
- Contribute and develop the risk based annual Compliance Monitoring Plan alongside the Senior Risk & Compliance Officer
- Work closely with the Senior Risk & Compliance Officer with maintaining appropriate systems and controls
- Participate in relevant committees, such Risk & Regulatory Change Committee and Breaches & Incidents Committees
- Contribute to the continued development of our risk management framework
More information about this role is available upon request – contact the team today for further details.