Compliance Monitoring Officer

Job Description

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.