A leading UK Asset Manager is looking for a Compliance Monitoring - Assistant Manager to join their growing compliance function in London. In this role you will work with compliance monitoring and wider compliance team to provide an effective compliance monitoring function.The role will focus on development & execution of a risk based program of thematic, desk based & surveillance monitoring covering the key regulatory activities and also assist on trade surveillance alerts & identifying/escalating any potential concerns or risks relating to regulatory rules.
The role sits within a small compliance function, reporting into the Head of Compliance Monitoring and has been created due to the growth the company is currently going through.
- Support the CMAD with the development of a risk based regulatory monitoring programme.
- Build relationships with relevant business partners.
- Develop test plans and documentation in support of monitoring activities.
- Execute thematic, desk based and surveillance monitoring at agreed frequencies.
- Complete testing write ups including identification of issues and recommendations.
- Work with the business to track resolution of recommendations.
- Development of Management Information (MI) and Reporting for monitoring activities.
- Assist with automated trade surveillance activities if required.
- Assist with or lead other projects or initiatives as required.
- 3-5 year's experience in compliance monitoring within an asset manager
- Good knowledge & practical understanding of the FCA handbook & regulations
- Experience of a wide range of investment products (Equities, Fixed Income and Derivatives).
- Autonomous & proactive attitude.
- Proactive, self-supportive and motivated in the development of a positive compliance culture.
If you are interested in this role, please apply below or contact me for more information.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.