Compliance Monitoring/Assurance Officer

London, UK
GBP40000 - GBP54000 per annum
07 May 2021
01 Jun 2021
Job role
A pension fund in London are seeking a permanent Compliance Assurance/Monitoring Officer to join their team.

As a Compliance Assurance Officer, you will sit within the Compliance team, reporting to the Head of Compliance. The role supports ensuring compliance with the FCA regulatory and the organisations Operational Framework requirements, through the monitoring and testing of processes, procedures and business activities to provide assurance of adherence by the firm to the requirements.

  • Producing daily MI reports, monitoring Takeover Panel changes, analysing custodian records and Bloomberg message alerts and compliance rule violations and escalating to Head of Compliance where corrective action required
  • Carrying out daily best execution monitoring and market abuse checks on transactions and escalating concerns to Head of Compliance
  • Maintaining Personal Account Dealing and Gifts & Hospitality registers and producing regular analysis reports of Personal Account trading activity / Gifts & Hospitality notifications
  • Carrying out ongoing monitoring in accordance with the Compliance Monitoring Programme. Escalating to Head of Compliance and working with the business to resolve any issues identified

  • FCA Regulatory knowledge
  • Internal audit or assurance experience
  • Good level of understanding of how compliance integrates with other areas within the business
  • Able to develop compliance assurance reports
  • Compliance monitoring expertise
  • Investment Management/OPS experience would be desirable but not essential

Please note the requirements stated and if you match them, please apply through the link or send your CV to

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