Compliance & Risk Monitoring Role

Our Client, a leading mid-market M&A firm specialising in growth equity, debt advisory and corporate finance services, is looking for a Compliance & Risk Monitoring Executive to join their team. The role will be vital in assisting the Head of Compliance in providing an effective second line of defence and in delivering the Compliance Plan.

Responsibilities:

• Contribute to second line monitoring activity and completion of the monitoring annual plan, ensuring the Group can demonstrate it is meeting its regulatory obligations.
• Responsible for performing the ongoing review, management and testing of regulatory and operational risks and controls.
• Assist in the review and updating of the Compliance Monitoring Plan.
• Opportunity to gain exposure to other areas of Compliance.

Requirements:

• Good experience of Compliance Monitoring practices and operational risk control assessments.
• Good knowledge of the UK regulatory framework including FCA rules, SYSC, COBS, MAR, LR, DTR, PR, and AML.

If you are interested in the role please apply or email your CV today.