Job Title:	Compliance Monitoring Executive
Reference:	COMPL 3147
Salary:	Up to £50,000
Location(s):	City of London
Industry(s):	Financial Services
Advertiser:	Compliance Professionals Ltd
Employment Type:	Permanent
Posted:	27-11-2008

Description:

THE COMPANY:

Our client is a City based Investment Manager offering a range of products for private investors. They currently have over £5 billion under management and have UK and European operations.

THE RESPONSIBILITIES:

Carry out risk based testing in relation to the annual monitoring programme covering discretionary wealth management and collective investment schemes (regulated and unregulated) in conjunction with the Compliance Officers for these business areas

Prepare draft reports on a timely basis and discuss with the relevant Compliance Officer of the business area prior to distribution to Senior Management;

Develop the monitoring programme to meet the requirements of the firm as it is restructured;

Preparation and updating of the tracking schedule of recommendations and ensure that the business has taken required action within agreed deadlines

Assist with the monitoring of outsourced providers

Conduct monitoring visits, as required, to operations in the UK and in Ireland to ensure ongoing effectiveness of their AML procedures

EXPERIENCE REQUIRED:

Must have compliance experience gained with asset management

Good knowledge of the FSA rules and regulations

For further information, please contact Spencer Evans