Assist with the execution of the Compliance Monitoring Programme.
Perform compliance testing, sample reviews, and thematic reviews.
Document testing completed, findings identified, and supporting evidence.
Assist with tracking remediation actions arising from compliance reviews.
Escalate identified issues or control weaknesses to senior Compliance staff.
Maintain accurate monitoring records and audit trails.
Assist with the preparation and submission of regulatory returns and notifications.
Coordinate with relevant internal teams to obtain information required for regulatory reporting.
Perform basic completeness and accuracy checks on regulatory reporting data.
Maintain the regulatory reporting calendar and supporting records.
Assist with regulatory information requests and ad hoc submissions.
Monitor relevant regulatory and industry developments.
Review regulatory publications, guidance, circulars, and other updates.
Prepare summaries of relevant developments for the Compliance team.
Assist with maintaining the regulatory change tracker.
Support the implementation of regulatory changes where required.
Support compliance reviews covering areas such as complaints, conflicts of interest, safeguarding, outsourcing, customer communications, record keeping and conduct requirements.
Assist with reviews of new products, services, or material business changes from a compliance perspective.
Support the investigation and remediation of compliance issues or regulatory breaches.
Maintain relevant compliance registers, records, and supporting documentation.
Provide day-to-day compliance support to business and operational teams.
Respond to routine compliance queries and escalate more complex matters where appropriate.
Assist with compliance projects and internal initiatives.
Support the preparation of compliance management information and internal reporting.
Support internal and external audit requests where required.
Requirements
Previous experience in Compliance, Risk, Audit, or a similar role within financial services is desirable.
Understanding of regulatory compliance principles within financial services.
Strong attention to detail and analytical skills.
Ability to review information, identify potential issues, and document findings clearly.
Good written and verbal communication skills.
Strong organisational skills and ability to manage competing priorities.
Ability to work independently on routine tasks and escalate matters appropriately.
Excellent communication and presentation skills.
Experience within a regulated investment, payments, electronic money, banking, brokerage, or other financial services firm.
Exposure to compliance monitoring or control testing.
Exposure to regulatory reporting.
Familiarity with EU financial services regulation.
Relevant compliance or financial services qualification, or progress towards one.
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Denidel's HR team submits and tracks the application on your behalf.
