Interim Senior Compliance Surveillance and Monitoring Officer

Location
London (Central), London (Greater)
Salary
300 per day
Posted
27 Sep 2018
Closes
27 Oct 2018
Ref
SPH
Contract Type
Contract
Hours
Full Time
Travel
None

An established but fast growing wealth manager based in London is looking for a Monitoring Officer to support the business as they go through a period of growth. After gaining their PSD2 license this individual would also be involved in working on their new payment platform.

Responsibilities:

  • Monitoring and assessing the adequacy of policies, procedures and associated controls designed to mitigate Regulatory risk
  • Planning the Compliance Monitoring Plan and adhering to assigned deadlines
  • Liaising with stakeholders to discuss findings and remediation
  • Working with the wider business and junior colleagues.
     

Experience:
Compliance monitoring or surveillance in a financial institution (wealth or asset management preferable)
Excellent knowledge of the FCA handbook

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