Compliance Monitoring Officer



Compliance Monitoring Officer
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Ref: 29081

Our client a leading wealth and asset manager are in search for a Compliance Monitoring Officer. As part of a Compliance Monitoring team, you will be a crucial part of the continual growth of a positive compliance ethos through communication and monitoring regulatory responsibilities at all levels.

The role
-Carry out daily monitoring in line with the Compliance Monitoring Plan (CMP), as well as trade surveillance monitoring.

-Successfully complete thematic and ad hoc monitoring reviews.
-Good level of experience in a compliance monitoring function
-Asset management would be an advantage
-Knowledge of the FCA rules

Location: London

Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.


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