Compliance Monitoring Specialist

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 risk-based 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 well-written, coherent, and succinct reports on your reviews, which will be circulated to senior stakeholders. Additionally, you will oversee risk-based 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 we’re 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 you’ll 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 carer’s 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’re inclusive and welcome everyone – we want applications from all backgrounds and experiences. Excited but not sure you tick every box? Even if you don’t, we would still encourage you to apply. We also consider all forms of flexible working, including part time and job shares.

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 you’ve applied, please send us an email stating that you have a disclosed disability, and we’ll interview you.

We’d love it if you could submit your application online. If you require an alternative method of applying, send an email to [email protected]

#LI-KB1

 #LI-Hybrid