Compliance Monitoring Officer
Salary £60000 - £90000 per annum
Consultant Peter Jecks
Date posted 28 November 2016
An exciting opportunity has come up within a cutting-edge Investment Manager as a Thematic Reviews Manager.
Compliance Manager - Thematic Reviews
A new position has become available as a Compliance Manager at a global Investment Management firm based in London.
The role has come about due to the sheer volume of work in the Compliance team at this cutting edge and innovative Asset Manager. The Compliance Manager is responsible for development and strategy of the compliance monitoring programme, its maintenance, and future development.
As the Compliance Manager - Thematic Reviews, you will be responsible for:
Assisting with the timely completion of the Compliance Monitoring Program, including Continuous monitoring
- Lead targeted or thematic monitoring reviews of business areas and third party administrators and other outsourced service providers (e.g. investment managers). This may involve working closely with other assurance functions
- Ensuring all relevant supporting documentation is kept up to date
- Ensuring that the monitoring program remains up to date
- Assist in the provision of regular reporting to relevant oversight committees and fund boards
- Provide support to the wider Compliance department on compliance monitoring matters
- Participate in/completion of ad hoc project work
For the Compliance Monitoring Officer role, you will require:
- Minimum 5 years’ experience in a variety of compliance roles within an Asset Manager
Monitoring experience is essential
- Asset Management experience is highly desirable
- Educated to degree level or equivalent is preferred
- Legal or audit background is advantageous but not essential
- IAQ or IMC or other relevant modules would be advantageous although not essential
- Good knowledge of regulatory requirements and principles especially, but not limited to, those set by the Financial Conduct Authority