- Leeds, West Yorkshire, United Kingdom
Support Progeny's Compliance Monitoring Plan by conducting risk-based reviews, testing regulatory controls, investigating incidents, and enhancing monitoring through AI and automation.
Responsibilities
- Deliver compliance monitoring reviews and control testing across Wealth, Asset Management, and Legal & Tax
- Identify, document and escalate compliance risks, control weaknesses, and root causes
- Maintain incident records and support investigations, remediation tracking, and customer impact assessments
- Gather and analyse evidence, produce monitoring reports, and maintain action trackers
- Prepare management information for governance and regulatory reporting
Requirements
- Nice to have: ICA qualification
- Nice to have: CISI qualification
- Nice to have: wealth management experience
- Nice to have: asset management experience
- Nice to have: AI-enabled compliance monitoring