Compliance Monitoring Officers

Compliance Monitoring Officer-French / German Speaking

Role Overview & Purpose

A leading wealth management firm, located in Manchester, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the firm's Compliance Monitoring programme, delivering the monitoring tests assigned to them on time. This is an excellent opportunity for an experienced compliance professional to grow their career while developing personally and professionally through various resources and programmes.  With a European remit, its essential candidates have French or German language skills.

Role responsibilities:

Deliver a series of defined monitoring tests to ascertain the firm's compliance with its regulatory and legal obligations.

Delivery of compliance tests on time, in accordance with Compliance Monitoring plan schedule.

Responsible for maintaining excellent record keeping in alignment with the Compliance Monitoring Specification - correct use of test folders, version control, naming conventions which produce orderly records for inspection by third parties.

Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the business demonstrate positive compliance.

Evolve, adapt and design required testing sheets under the direction of their manager.

Perform continuous gap analysis of the CMP scope and application.

Actively contributing to a 'live' compliance risk assessment of the firm.

Supporting and undertaking Compliance Reporting (reporting and notifications to regulatory bodies as required, internal management reporting, register maintenance).

To work and conduct yourself with skill, professionalism, discretion befitting a member of the Compliance Department maintaining independence and integrity of thought and action necessary to work within a second line of defence.

Personal Attributes & Experience:

Experience in a Compliance Monitoring role within the financial services industry.

Experience in delivering regulatory change within a firm.

Experience in applying root cause analysis to findings in order to create effective actions.

Relevant qualifications through industry body or educational institution.

Proficient in English required.

Minimum Intermediate knowledge of French and / or German.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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