This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

Monitoring Officer

JO0000043094_1528726877

£55000.00 - £65000.00 per annum

Monitoring Officer

JOB DETAILS

A regulatory hosting platform is seeking experienced Compliance Monitoring professionals from either consultancy or asset management to join their growing business.

Working in a compliance team of 8, you will provide monitoring support both internally for the regulated company, and also external oversight of the clients under their umbrella.

Key responsibilities will include

- set up of the client compliance infrastructure, including developing compliance policies and procedures bespoke to the client

- designing monitoring programmes based on client due diligence

- performing client compliance monitoring and ongoing advice and assistance, sometime on-site/client-facing

- enhancing internal monitoring procedures

- producing compliance monitoring reports

- overseeing the review and approval of client financial promotions conducted by the on-boarding team

- overseeing the onboarding process and dealing with any compliance related queries



Essential experience

Monitoring experience gained in Compliance Consulting or Asset Management.

A confident and strong character, able to deal with external clients as well as internal stakeholders

Experience of relevant regulatory environments including AIFMD, MiFID, CFTC/NFA, SEC and MFSA

Please quote (43094) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.
 

This job has now been filled but you may be interested in:

 

Compliance (& HR) Manager - Insurance

London
£40000.00 - £50000.00 per annum
A commercial insurance broker is seeking an experienced Compliance Officer to join their team. Ideally with some experience of HR Management, a small part of your role will cover HR duties, including disciplinaries on occassion. Reporting to the Operations Director... More

Director - Compliance Consultancy

London, London
An expanding and ambitious Compliance Consultancy is seeking a Director for their City Markets team, managing a growing team of currently 6 people, to oversee consultancy projects within the investments sectors, primarily capital markets, fund management, wealth, retail investments and stockbroking.As well as managing and developing the team... More

JOB SEARCH

 
OR