Compliance Monitoring Associate - Trading Platform

MERJE are currently supporting a fast growing trading platform in their search for a Compliance Monitoring specialist in London.

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
• Identify any gaps or weaknesses in the Plan and propose remedial actions.
• Assist with scoping, implementing and managing second line testing to ensure alignment with regulatory requirements and business process.
• Document the findings, recommended actions and management responses together with agreed timescales and action owners.
• Follow-up management's implementation of agreed compliance actions and report all outstanding actions to the Senior Compliance Manager,
• Track business unit actions to mitigate risk and support continuous improvement across the business.
• Support the wider compliance team with ad hoc tasks as required.

Experience/Skills/Qualifications:

• Minimum 2 years of relevant Compliance Monitoring experience ideally gained within a stockbroking/trading environment
• Good interpersonal skills and ability to interact with people at all levels
• Strong drafting and report writing skills
• Ability to work on multiple projects simultaneously
• Work collaboratively with all business areas as well as building strong relationships with key business partners;
• Able to work both independently and as part of a small cohesive team;

Applicants must be located and eligible to work in the UK without sponsorship.

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