Compliance Monitoring Consultants – Fund Management

Recruiter
Location
London (Central), London (Greater)
Salary
40000 - 60000
Posted
16 Jul 2017
Closes
15 Aug 2017
Ref
13598
Job Sector
Compliance
Job Function
Compliance
Experience Level
Management
Contract Type
Full time, Permanent

The Client-

A well established and highly successful Fund Manager, are seeking to recruit Compliance Monitoring Consultants to work closely with the Compliance Monitoring Managers in performing firm wide thematic reviews.

This Client does not provide sponsorship.

The role-

Reporting in to the Compliance Monitoring Manager, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties including:

  • Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes
  • Leading reviews as and when required by the Compliance Monitoring Manager/Head of Compliance Monitoring
  • Consulting with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
  • Taking responsibility for ensuring that where issues are identified, appropriate remedial actions are recommended to the business and tracked through to completion
  • The drafting and issuing of formal reports to the business
  • Assisting the Compliance Monitoring Manager/Head of Compliance Monitoring with the production of periodic reports to Boards and Committees.

 

 

Key Requirements-

This role would ideally suit a candidate who understands the mechanics of the Fund Management space. In order to be considered for the position candidates must –     

  • Have solid knowledge Compliance Monitoring experience, ideally gained in an Asset Manager
  • Have excellent knowledge of FCA rules governing the Asset Management space
  • Be Degree educated
  • Be confident in dealing with senior stakeholders
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines

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