Compliance Monitoring officer – Excellent culture – mid-sized Investment bank

Due to an internal move into the business, our client is looking to fill a compliance monitoring position within the team. The team has very low staff turnover, a positive, open working culture and is located close to Liverpool Street/Moorgate.

They are looking for a candidate currently working in either Compliance, Consultancy or Internal Audit ideally with 3 years plus work experience to work in a ‘macro’ managed environment and take responsibility for a number of monitoring activities.

Responsibilities:

• To execute a principles based compliance monitoring programme;
• Conduct reviews;
• Draft reports;
• Compile working papers;
• Engage with the business to ensure that change is implemented where appropriate;
• Prepare management information and reporting.

Candidate background:

• Ideally a minimum of 3 years experience within the Financial Services Industry
• Will ideally have either audit, compliance or regulatory experience or have worked for one the ‘big four’
• Knowledge of relevant regulations including FSA and Exchange rules.
• Understanding of general Private and Investment Banking terms, and Capital Market products.

Personal Attributes

• Strong interpersonal skills used when communicating with the business and other members of the Compliance team.
• Good time management skills. Ensuring agreed deadlines are met and priorities are managed.
• Multi-tasking and ability to manage a number of reviews or priorities simultaneously.
• Strong written skills; drafting reports, constructing working papers. Strong written skills are essential in communicating to a wide audience, clear, reasoned process needs to be of exhibited.
• Ability to work with a high degree of autonomy, initiative. Successful candidate needs to have an inquiring mind and want to develop and learn for themselves. Need to see evidence of original thinking, coming to their own conclusions, having a view, being excited or particularly interested in an area of regulation or financial services.
• Ability to adapt to reviews of different desks or themes, exhibiting flexibility and confidence.

If your experience fits the above requirements, please send your CV to mark@holmessearch.co.uk. Job ref: CMO/cit/92.Telk: 01959 524341

www.holmessearch.co.uk

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