Compliance Monitoring Specialist

TN United Kingdom; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is on the lookout for a Compliance Monitoring Specialist to join their dynamic team in London. This role offers the opportunity to engage in risk-based monitoring, ensuring compliance with laws and regulations while identifying potential gaps. The ideal candidate will have a strong background in financial services and compliance monitoring, alongside excellent stakeholder management skills. With a commitment to inclusivity and flexible working arrangements, this organization fosters a supportive environment where your contributions can make a significant impact. Join a forward-thinking team and help shape compliance processes in a reputable firm.

Benefits

Generous pension scheme (up to 14% contribution)

Annual performance bonus eligibility

Family-friendly parental and carer’s leave

Holiday entitlement plus options to buy/sell additional days

Up to 40% discount on Aviva products

Flexible benefits, including electric cars

Aviva Matching Share Plan

Save As You Earn scheme

21 volunteering hours per year

Qualifications

• Proven compliance monitoring experience is essential.
• Understanding of surveillance activities, especially market abuse, is desirable.

Responsibilities

• Conduct independent, risk-based monitoring and themed reviews.
• Produce clear reports for senior stakeholders regarding compliance gaps.

Skills

Compliance Monitoring Experience

Understanding of Surveillance Activities

Financial Services Industry Background

Project Management Skills

Stakeholder Management Skills

Job description

Social network you want to login/join with:

Compliance Monitoring Specialist, London

Client: Aviva

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Reference: b1b4cd28a5c2

Job Views: 5

Posted: 05.05.2025

Expiry Date: 19.06.2025

Job Description:

Please note this position is based in London and this will be the contractual location of the successful candidate. Other locations cannot be considered.

Compliance Monitoring Specialist - 12 Month Fixed Term Contract

This role is ideal for someone who understands the investment management business model & process.

About the job:

We are seeking a dedicated Compliance Monitoring Specialist to join our team. You will conduct independent, risk-based monitoring, themed reviews, and ad hoc reviews of procedures, business, and compliance processes. Your objective is to identify and escalate potential compliance gaps related to laws, regulations, guidance, and company policies.

You will produce clear, coherent, and succinct reports for senior stakeholders and oversee risk-based surveillance tasks to ensure that controls related to order/best execution, market abuse prevention, and conflicts of interest are effective.

Building and maintaining constructive relationships within relevant business areas and with other Compliance team members is essential.

Skills and experience required:

• Proven compliance monitoring experience
• Understanding of surveillance activities, especially market abuse (desirable)
• Financial services industry background
• Project management skills, including testing plans
• Stakeholder management skills

Benefits:

• Generous pension scheme (up to 14% contribution)
• Annual performance bonus eligibility
• Family-friendly parental and carer’s leave
• Holiday entitlement plus options to buy/sell additional days
• Up to 40% discount on Aviva products
• Flexible benefits, including electric cars
• Aviva Matching Share Plan and Save As You Earn scheme
• 21 volunteering hours per year

Our commitment to inclusivity:

We welcome applications from all backgrounds and experiences. We encourage you to apply even if you don’t meet every qualification. We support flexible working arrangements, including part-time and job sharing, and adapt locations, hours, and working patterns to suit our teams and customers.