Position Location
Please note this position is based in London and this will be the contractual location of the successful candidate. Other locations cannot be considered.
Compliance Monitoring Specialist - 12 Month Fixed Term Contract
This role is ideal for someone who understands the investment management business model and processes.
About the Job
We are seeking a dedicated Compliance Monitoring Specialist to join our team. Your responsibilities include conducting independent, risk-based monitoring, themed reviews, and ad hoc reviews of procedures, business, and compliance processes. The objective is to identify and escalate potential compliance gaps related to laws, regulations, guidance, and internal policies.
You will produce clear, concise reports for senior stakeholders and oversee risk-based surveillance tasks to ensure the effectiveness of controls related to order/best execution, market abuse prevention, and conflicts of interest.
Building and maintaining strong relationships within relevant business areas and supporting the Compliance team are essential.
Skills and Experience
* Proven experience in compliance monitoring reviews
* Knowledge of surveillance activities, especially regarding market abuse (desirable)
* Background in financial services
* Project management skills, including testing plans development and execution
* Stakeholder management and engagement skills
Benefits
* Generous pension scheme with up to 14% contribution from Aviva
* Annual performance bonus eligibility
* Family-friendly parental and carer’s leave
* Holiday entitlement plus options to buy/sell additional days
* Up to 40% discount on Aviva products
* Flexible benefits, including electric cars
* Share plans and savings schemes
* 21 volunteering hours annually
Our Commitment
We are inclusive and welcome applications from all backgrounds and experiences. We encourage you to apply even if you don’t meet every requirement. Flexible working options, including part-time and job sharing, are considered.
Most employees work around 50% of their time in the office, balancing flexibility with collaboration.
Learn more about working at Aviva here.
We interview every disabled applicant who meets the minimum criteria. Please email us at GlobalRecruitment@avivainvestors.com to disclose a disability and arrange an interview.
Applications can be submitted online or via alternative methods upon request.
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