Compliance Monitoring Officer – Asset Manager

1 day left

London (Central), London (Greater)
19 Jun 2018
19 Jul 2018
Job Function
Experience Level
Executive, Management, Officer
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.

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 but other sector experience will be considered
  • Have excellent knowledge of FCA rules governing the Asset Management space
  • Be degree educated – preferred but not essential
  • 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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