The main responsibility of the role involves the review and closure of daily Market Abuse and Transaction Monitoring alerts – working closely with the Front Office to ensure timely closure and escalating any concerns to the MLRO.

DUTIES AND SPECIFICATIONS

• Review and closure of daily Market Abuse and Transaction Monitoring alerts – working closely with the Front Office to ensure timely closure. Escalation to the MLRO of any concerns.
• Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures put in place relating to overall compliance and regulatory risk and AML risk
• Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
• Investigate and report upon breaches of regulations and assist with remedial action
• Assist with ensuring that compliance related Directives, Policies & Procedures remain up to date
• Assist staff with interpretation of rules and assist in development of a positive compliance culture
• Assist in maintaining standards of regulatory risk management through an effective process of risk identification, assessment and mitigation
• Assists in production of appropriate MI
• Daily completion of compliance monitoring tasks in accordance with the CMTP, identifying and escalating any areas of concern and building reports for Monthly Risk Committee
• Manage the completion of multiple simultaneous reviews where required
• Providing output for monthly Senior Managers Compliance Committee and Risk Committee
• Assisting and covering for other members of the Compliance department as required
• Assisting with inputting and submitting PRA/FCA registrations of all approved persons
• Assisting with induction training and ensuring all compliance forms have been signed
• Support with regulatory reporting
• Assist with submissions of regulatory applications and approvals
• Assist with compliance approvals