CPD Monitoring Officer VP
Salary £80,000 - £100,000 per annum
Consultant Emily Pearce
Date posted 29 May 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
To monitor and assess the adequacy and effectiveness of policies, procedures and associated controls designed to mitigate the risk of failure by the Bank to comply with its obligations under the regulatory system. To complete CM Reviews in line with the approved London Compliance Monitoring Plan (CMP) and within assigned deadlines.
- To documenting CM review results in working papers.
- To liaise with stakeholders to discuss findings and agree remediation actions.
- To assist the Head of Compliance Monitoring in the preparation and submission of Compliance Monitoring MI and other ad-hoc tasks. To assist more junior colleagues in developing their understanding of the Compliance Monitoring activity and in completing CM Reviews as needed.
- To undertake ad-hoc activities as and when assigned by the LCO or RCCO .
- Compliance Monitoring or Internal Audit background.
- Competencies and Skills Good working knowledge of the FCA Handbook, Financial markets and Banking activities and products.
- Sound understanding of risks and controls.
- Good awareness of conduct risk
- Proven analytical and written presentation skills. Financial market awareness and interest in current affairs (economic and political)
- Undergraduate Degree (essential)
- Professional qualifications (desirable but not essential)
Personal Characteristics/ Other Information
- Clear communicator and good listener.
- Self-starter with an ability to multi-task and work well under pressure.
- Team player.
Is this role a Certification or Senior Management function?
Any health & safety issues to be aware of?