Compliance Monitoring - Senior Associate Compliance Monitoring - Senior Associate …

Eximius Finance
à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 20 juin 21
65,000
Eximius Finance
à Londres, Angleterre, Royaume-Uni
CDI, Plein-temps
Dernière candidature, 20 juin 21
65,000
Assisting the Compliance Monitoring Manager on a day-to-day basis, the candidate will perform a wide variety of activities, including testing, reporting, co-ordination and other assurance functions

Monitoring

▪ Carry out desk based and thematic reviews of the Wealth Management Division, as part of the organisations second line of defense and in line with the firm’s risk-based compliance monitoring programme
▪ Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required
▪ Composition and delivery of reports of completed reviews and monitoring activities
▪ Tracking and validation of remedial action points

Other associated responsibilities to include;


▪ Review, investigation and clearance of market abuse alerts generated through the firm’s automated surveillance tools
▪ Significant holdings monitoring 
▪ Takeover Panel monitoring 
▪ Approval and oversight of staff dealing
▪ Assist in the production of Management Information

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