A leading trading house/brokerage is looking to appoint a Compliance Monitoring Officer to join their growing governance function.For a complete understanding of this opportunity, and what will be required to be a successful applicant, read on.The role will report to the Senior Compliance Manager and have exposure to the Global Head of Legal and Compliance.Responsibilities: Carry out thematic reviews and recommend steps for mitigation, including action follow-ups with relevant stakeholders Propose enhancements to front office supervision and monitor the effectiveness of supervisory controls Liaise with global compliance teams to ensure monitoring, reviews, and remediation work are carried out according to best practices in a coordinated manner Contribute to compliance policy reviews and compliance projects Prepare and deliver management information in a clear and concise manner Experience: Experience carrying out compliance monitoring and assurance reviews Compliance experience in an FCA-regulated firm Fixed Income or Commodities experience would be a plus Practical knowledge of the FCA Handbook (MAR, MiFID II, COBS, etc.) Ability to multitask and meet deadlines Hybrid working 3/2 in the office, based in the city.
Job Title
Compliance Monitoring Officer