Associate, Compliance Monitoring and Testing The Compliance Monitoring and Testing (CMT) Group is an independent oversight function that is responsible for the planning and execution of testing and monitoring activities to assess whether the processes and controls supporting the compliance framework are designed and operating effectively. The CMT Group collaborates with other members of the Enterprise Risk Management, Compliance, Legal, Internal Audit, and business functions in the execution of its mandate. The CMT Senior Associate will be responsible for supporting the CMT management team in the execution of the CMT Program.
What you'll be doing (i.e. job duties): Perform risk-based CMT reviews that cover regulatory obligations for AML/CFT and Sanctions and/or non-AML/CFT and Sanctions (e.g., consumer protections, fair and safe trading, systems and controls) compliance.
Follow established Policies and Procedures throughout the CMT lifecycle of planning, execution, reporting, and findings remediation, and provide escalation as needed.
Provide information for reports on the results of CMT reviews and work with stakeholders on root cause analysis and remediation plans.
Maintain and update (as needed) findings and remediation-related information and documentation in a central repository (Archer).
Track and validate the implementation of remediation plans submitted by finding owners to verify that findings identified during testing and monitoring are remediated.
Participate in training and/or awareness materials (as needed) regarding the CMT Program.
Stay current on regulatory developments and industry events to identify trends and emerging risks impacting the company's products and services, as well as the CMT Program.
Continuously add value through effective project management and efficient execution.
Conduct other duties as assigned.
What we look for in you (i.e. job requirements): 4+ years of experience in executing Internal Audit and/or CMT programs, testing plans, and activities across a diverse range of financial services/products.
Working knowledge of compliance-related laws, regulations, and risk management practices for financial services/products.
Knowledge and experience in auditing/testing compliance with the Markets in Crypto-Assets Regulation (MiCA).
Track record of delivering work outcomes within budget and meeting quality standards.
Advanced written/verbal communication, critical thinking, and problem-solving skills.
Flexibility to work extended hours to meet deadlines when necessary.
Proficient in Word/Google Docs, PowerPoint/Google Slides, and Excel/Google Sheets.
A BA/BS degree in business, finance, or related fields.
Nice to haves: experience using data extraction and analysis tools (e.g., SQL, Tableau, SAS, Snowflake).
experience in monitoring and testing third-party vendors.
experience with and/or a keen interest in cryptocurrency and digital assets.
experience with or previous exposure to financial services regulators.
Professional certifications (e.g., CRCM, CAMS, CIA, CISA, and CICA).
Skills Compliance
Audit
Crypto Assets
MiCA
CMT
Job Title: Compliance Associate
Location: London, UK
Rate/Salary: 200.00 - 284.00 GBP Daily
Job Type: Contract
Trading as TEKsystems. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. 2876353. Allegis Group Limited operates as an Employment Business and Employment Agency as set out in the Conduct of Employment Agencies and Employment Businesses Regulations 2003. TEKsystems is a company within the Allegis Group network of companies (collectively referred to as "Allegis Group"). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands. If you apply, your personal data will be processed as described in the Allegis Group Online Privacy Notice available at https://www.allegisgroup.com/en-gb/privacy-notices.
To access our Online Privacy Notice, which explains what information we may collect, use, share, and store about you, and describes your rights and choices about this, please go to https://www.allegisgroup.com/en-gb/privacy-notices.
We are part of a global network of companies and as a result, the personal data you provide will be shared within Allegis Group and transferred and processed outside the UK, Switzerland and European Economic Area subject to the protections described in the Allegis Group Online Privacy Notice. We store personal data in the UK, EEA, Switzerland and the USA. If you would like to exercise your privacy rights, please visit the "Contacting Us" section of our Online Privacy Notice at https://www.allegisgroup.com/en-gb/privacy-notices for details on how to contact us. To protect your privacy and security, we may take steps to verify your identity, such as a password and user ID if there is an account associated with your request, or identifying information such as your address or date of birth, before proceeding with your request. If you are resident in the UK, EEA or Switzerland, we will process any access request you make in accordance with our commitments under the UK Data Protection Act, EU-U.S. Privacy Shield or the Swiss-U.S. Privacy Shield.
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