A leading international investment firm are looking for a monitoring manager based in London to join their team on a permanent basis.
This would provide a good opportunity for a compliance officer/monitoring looking to extend their compliance monitoring understanding within a company with a strong compliance culture and progressive senior management team.
Main responsibilities:
- Provide effective compliance monitoring functions.
- Grow risk based compliance monitoring programs of thematic, desk based and surveillance monitoring.
- Assist with the progression of regulatory risk assessment.
- Assisting where necessary to the guideline monitoring team.
- Assist with project work as required.
- Dealing with regulatory developments as necessary.
- Develop test plans for monitoring activities.
- MI and reporting of monitoring activities.
- Partaking in ad hoc compliance work.
Qualifications required:
- Compliance monitoring experience preferably from asset management industry.
- Good knowledge of FCA handbook.
- Practical understanding of UCITS & AIFMD regulations.
- Experience of investment products e.g. Fixed Income & Equities (Would be desirable).
- Degree qualification & relevant industry qualifications; e.g. IMC.
- Strong business relationship management.
- Excellent communication and presentation skills.
If you are interested in this role please apply below or contact me for more information.
