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Principal Consultant | Operations & Trading Support at Morgan McKinley
The Compliance & Technical Administrator will play a key supporting role within the Compliance function, assisting the Compliance Officer, senior management, and other stakeholders in the effective management and development of the firm’s compliance, risk management, and internal audit activities. This is an excellent opportunity for someone looking to develop a career in financial services compliance.
Key Responsibilities
* Support the day to day operations of the compliance function, including monitoring regulatory developments and assisting with internal reporting.
* Maintain compliance registers, logs, and documentation to ensure accurate record-keeping.
* Assist with the coordination and implementation of internal audit plans and compliance monitoring programmes.
* Report any suspicious transactions relating to financial crime to the Money Laundering Reporting Officer (MLRO)
* Support risk management activities, including the identification and assessment of key business risks.
* Liaise with internal departments to ensure policies and procedures are properly communicated and understood.
* Help prepare compliance reports for senior management and regulatory bodies as required.
* Assist in the development and review of internal policies and procedures to ensure alignment with current regulations.
* Monitor employee compliance training and ensure timely completion of mandatory modules.
* Respond to routine compliance queries and assist in investigating potential compliance breaches.
* Prior experience in a Compliance role is desirable, in a FCA regulated company.
* Knowledge of Lloyds insurance market would be desirable
* Strong organisational and administrative skills with keen attention to detail.
* Ability to handle sensitive information with confidentiality and discretion.
* Analytical thinking with a problem solving approach.
* Comfortable working in a regulated environment with multiple deadlines.
Seniority level
* Seniority level
Associate
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
* Industries
Insurance Agencies and Brokerages, Insurance, and Financial Services
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