Compliance Monitoring Manager - Asset Management
Salary £400 - £500 per day
Consultant Jamie Anderson
Date posted 04 December 2018 2018-12-042019-01-02 financial-services UK Robert Walters https://www.robertwalters.co.uk
A Global Asset Manager is looking for an experienced Compliance Monitoring professional to support their expanding Monitoring team within financial services. They are looking for someone with broad experience of detailed monitoring reviews in accordance with the internal risk-based monitoring programme
The Global Asset Manager is seeking someone to join their London office with Monitoring experience from another Asset Manager ideally. They are looking for someone technically excellent with strong stakeholder management skills.
Monitoring Managers key responsibilities:
- Perform monitoring reviews in line with FCA rules and regulations
- Working closely with the Head of Compliance to find appropriate solutions to any adverse findings
- Working with the team to ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated Drafting and reviewing policies and procedures resulting from regulatory developments
- You will also be involved to undertake Client Due diligence and AML checks on new clients before on-boarding clients etc
- Good understanding of FCA rules applicable to the UK Asset Management environments
- An ability to interpret, understand and advise the business on a broad range or legal and regulatory issues
- Prior Internal Audit, Compliance Monitoring and AML experience would be ideal
- Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds would be useful
- Strong oral and written communication skills
- Proactive and execution focused
- Able to exercise discretion in the handling of confidential information
- Confident and competent to exercise a degree of autonomy and independent judgement
This is a 6 month contracting opportunity, competitive day rate dependent on experience.
If you would be interested in this Compliance Monitoring opportunity, please contact Jamie Anderson on firstname.lastname@example.org or 0207 509 8261.