Compliance Monitoring
Main tasks:
1. Assist with the ongoing update to Compliance policies and procedures.
2. Maintenance of the Compliance monitoring action log
3. Contribute to the development of the annual compliance monitoring plan.
4. Undertake compliance monitoring tasks, ensuring that any actions arising are appropriately agreed with business colleagues, logged and followed up.
5. Assist Compliance manager with Regulatory horizon scanning.
6. Analysis of FCA regulatory developments to understand the impact on the firm.
7. Assist with new starter inductions and general compliance training
8. Work with colleagues in the Compliance advisory team and the financial crime manager as required.
9. Ad-hoc support to Compliance Manager and Head of Compliance as required.
10. Help to provide Compliance input to company projects and initiatives as required.
General Compliance
11. Assist in various aspects of either Department’s administration, providing cover and support to other members of the Compliance team when necessary.
12. Support colleagues across the business with Compliance related queries.
Special Projects
13. Carry out and assist with special projects as required
General
14. Carry out and assist with other tasks required in the department as required.
Compliance
15. Work within the regulatory and the Firm’s compliance framework
16. Maintain own professional competence through training and course work