This position will provide high quality compliance monitoring support to the businesses regulated entities undertaking monitoring functions, management information reporting, some advisory support and carrying on ad hoc Compliance projects. You should preferably have prior compliance monitoring experience within the wealth management space as well as strong communication skills.
Responsibilities:
Assist with the management and delivery of all aspects of compliance monitoring
Determine the scope and testing approach for reviews
Conduct thorough Compliance Monitoring reviews covering a range of activities across all business areas. (Specifically including discretionary investment management, investment restrictions, and advice mandates.)
Provide written reports for management and key business stakeholders to include details of findings and recommended actions
Track progress of compliance monitoring against the annual plan and report to management
Prepare management information for senior management and relevant committees
Ad-hoc duties as required
Skills
Strong work ethic with a commitment to continuous personal development
Excellent organisational and time management capabilities, able to manage multiple tasks and tight deadlines under pressure
Strong and proven problem solving and reporting skills
Attention to detail and able to interpret regulations and apply them
