Our client is seeking an Assistant Manager to join the Centralised Functions Assurance Team in a hybrid, permanent role. This position, situated within the Risk and Compliance department, primarily focuses on maintaining and managing the Compliance Monitoring Programme and Thematic Assurance Testing Plan for Private Client Services. The role involves conducting second-line, risk-based monitoring activities, ensuring regulatory alignment, and proactively managing compliance controls. Click here to read more
Job Duties:
- Conduct risk-based monitoring activities across Private Client Services in line with the Compliance Monitoring Programme/Thematic Assurance Testing Plan
- Align the Compliance Monitoring Programme with each jurisdiction’s Business Risk Assessment, prioritising testing in high-risk areas
- Perform compliance testing as scheduled and increase monitoring in high-risk areas as necessary
- Promptly address any deficiencies identified and ensure timely closure
- Gather evidence, draft reports, provide feedback, and track outcomes of compliance testing
- Review and update the Compliance Monitoring Programme annually to ensure relevance and effectiveness
- Maintain up-to-date knowledge of policies, procedures, and relevant regulatory requirements
- Adhere to Continuing Professional Development (CPD) requirements as per regulations and in-house policies
- Attend relevant seminars and conferences to stay informed on industry practices
- Undertake any additional tasks as directed by Management
Job Requirements:
- International Compliance Association qualification (or similar) or in progress toward one
- Prior experience in a compliance monitoring or audit role
- Strong accuracy and attention to detail
- Ability to manage and meet tight deadlines
- Hands-on approach with strong problem-solving skills
- Effective team player with collaborative mindset
What You’ll Love:
Our client offers a dynamic work environment where you’ll have the opportunity to expand your compliance expertise within a supportive team. You’ll gain valuable experience in private client services while contributing to risk management and process optimisation. Development opportunities, professional growth, and a commitment to continuous improvement will ensure your role remains both rewarding and impactful.
Interested? Register today, confidentially, with one of our friendly and dedicated recruitment specialists by clicking here
