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Compliance Officer

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Huntswood is looking for a Compliance Monitoring Officer in either a perm, FTC or day rate contract capacity for our Private Banking client. Location: Manchester Rate: Competitive Start Date: ASAP Duration: Permanent, Fixed Term Contract or day rate contract considered Key Accountabilities • Deliver a series of defined monitoring tests to ascertain the firms' compliance with its regulatory and legal obligations • Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule • Engage with business pre and post testing; monitoring and verifying the completion of actions which help the business demonstrate positive compliance with its regulatory and legal obligations. • Evolving, adapting and designing CMP testing sheets • Daily gap analysis of the CMP scope and application • Actively contributing through monitoring to a 'live' compliance risk assessment of the firm • Daily completion of Market Abuse Monitoring activity. • Supporting and undertaking Compliance Reporting – FCA reporting and notifications – Internal management reporting – Register maintenance • Strong work ethic which understands the importance of meeting deadlines through a 'can-do' attitude. – Ability to work cooperatively and positively within the team and across the business to engage • stakeholders in a positive way with a focus on delivering outcomes. • To work and conduct yourself with skill, professionalism, discretion befitting a member of the Compliance Department and in accordance with PRIN. Knowledge / Experience • Working knowledge of the FCA handbook across, investment management, wealth planning and lending. Client money, SMCR training and competence and general control framework. • Familiarity with ESMA and EBA rules and the interaction between • European legislation and FCA/PRA • Delivering and/or assessing delivery of, the FCA handbook described • above through analysis of: – Client files, procedures, processes, record keeping. – Delivering regulatory change within a firm – Responsibility, expectation and governance of a 3LOD model.

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