Bolton, Greater Manchester
£35000 - £40000 per annum + benefits
4 months ago
Our client is a growing Investment Management business based in the Bolton area. Due to growth and expansion, they are looking for a Compliance Monitoring Specialist to assist in leading part of their Compliance team on a permanent basis. The role is based at the firm's Head Office in Bolton and may involve occassional travel to other offices across the country.
This team is responsible for providing first line assurance that the firm's compliance processes are operating efficiently.
Reporting to the Compliance Oversight Manager, the Compliance Monitoring Specialist will take responsibility for:
- Monitoring both internal and external compliance behaviours of the company (identifying good and bad practices)
- Providing risk management expertise
- Working with senior stakeholders to ensure operational infrastructure operates effectively and that robust systems and controls are maintained
- Preparing and owning the annual quality audit plan, including compliance monitoring reviews, deep diving thematic reviews, business change reviews and controls testing
- Continually testing and reviewing framework performed by other parties such as Risk and Internal Audit
- Ensuring review work is appropriately documented
- Undertake root cause analysis and propose appropriate solutions and advice on remedial actions
- Oversight of compliance projects
The Compliance Monitoring Specialist will meet the following skillset:
- Background in wealth management, investment management or/and an IFA or Pensions business
- Experience of risk management, compliance monitoring, audit testing and/or testing controls
- Broad understanding of the investment management industry
- Adaptable to an ongoing changing environment and an active supporter of change
- Excellent working knowledge of Excel
This is an excellent opportunity for a Compliance Monitoring professional with extensive experience in the Wealth Management or Investment Management sector looking to propel their career. The company offers excellent company benefits and a dynamic working environment.
If you believe your experience meets the criteria, please apply with a copy of your CV.
Note, this is a highly competitive position. We receive a high volume of applications and are unable to respond to each CV.
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