Interim Senior Compliance Surveillance and Monitoring Officer
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.
- 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.
Compliance monitoring or surveillance in a financial institution (wealth or asset management preferable)
Excellent knowledge of the FCA handbook