Compliance Monitoring Manager - Investment Management
Salary £50,000 - £70,000 per annum + Standard
Consultant Joe Johnston
Date posted 27 February 201811 Slingsby Place, St Martin's Courtyard London, WC2E 9AB Robert Walters United Kingdom
A leading London Investment Management firm are looking for a Compliance Monitoring Manager to join their expanding and highly dynamic team.
A leading London Investment Management firm are looking for a Compliance Monitoring Manager to join their expanding and highly dynamic team. They are looking for someone with proven Compliance Monitoring & Testing experience within an Asset Management environment. Desired regulatory experience includes UCITS, AIFMD, MIFID and EMIR. Exposure to various publicly and privately traded asset classes (Equities, Credit, real estate, private equity) is also a plus.
Compliance Monitoring Manager - Investment Management responsibilities:
- Execute thematic, desk based and surveillance monitoring at agreed frequencies.
Complete testing write ups including identification of issues and recommendations.
- Keep abreast of regulatory developments to ensure the CMP remains current
- Build relationships with relevant business partners
Compliance Monitoring Manager - Investment Management qualifications:
- Compliance monitoring experience, preferably from the asset management industry.
Experience of a wide range of investment products (Equities, Fixed Income and Derivatives)
Good knowledge and practical understanding of UCITS and AIFMD regulations