Compliance Monitoring Specialist
Compliance Monitoring Specialist
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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 is a great job for someone who understands the investment management business model & process.
A bit about the job:
We are seeking a dedicated Compliance Monitoring Specialist to join our team. In this role you will be responsible for conducting independent second line riskbased monitoring themed reviews and ad hoc reviews of procedures business and compliance processes. Your goal will be to identify and escalate potential gaps in adherence to applicable laws regulations regulatory guidance and Aviva Investors or Aviva Group policy.
You will play a crucial role in producing wellwritten coherent and succinct reports on your reviews which will be circulated to senior stakeholders. Additionally you will oversee riskbased surveillance tasks to ensure that first line controls related to order/best execution processes market abuse prevention and conflicts of interest are functioning effectively.
Building and maintaining constructive relationships within relevant business areas is essential as is fostering strong relationships with and providing support to other members of the Compliance team.
Skills and experience were looking for:
Compliance Monitoring Experience: Proven track record in conducting compliance monitoring reviews.
Surveillance Knowledge: An understanding of surveillance activities especially with respect to market abuse is desirable
Financial Services Experience: Background in the financial services industry.
Project Management Skills: Proficiency in project management including developing and executing testing plans.
Stakeholder Management Skills: Excellent ability to manage and engage with stakeholders effectively.
What youll get for this role:
Generous pension scheme Aviva will contribute up to 14% depending on what you put in
Eligibility for annual performance bonus
Family friendly parental and carers leave
Generous holiday entitlement plus bank holidays with the option to buy/sell up to 5 additional days
Up to 40% discount for Aviva products
Brilliant flexible benefits including electric cars
Aviva Matching Share Plan and Save As You Earn scheme
21 volunteering hours per year
Aviva is for everyone:
We flex locations hours and working patterns to suit our customers business and you. Most of our people are smart working spending around 50% of their time in our offices every week combining the benefits of flexibility with time together with colleagues.
To find out more about working at Aviva take a look here
We interview every disabled applicant who meets the minimum criteria for the job. Once youve applied please send us an email stating that you have a disclosed disability and well interview you.
Wed love it if you could submit your application online. If you require an alternative method of applying send an email to
#LIKB1
#LIHybrid
Required Experience:
Unclear Seniority
Employment Type
Full Time
