Compliance Testing - Asset Management
Salary £50,000 - £70,000 per annum
Location City of LondonFULL_TIME
Consultant Megan Craighead
Date posted 13 February 2019 2019-02-132019-04-14 banking City of London London Laurence Pountney Hill GB EC4R 0HH GBP 50000 70000 70000 YEAR Robert Walters https://www.robertwalters.co.uk
I am currently working on an exciting opportunity with one of the UK's leading asset managers in their growing compliance monitoring team. You will be looking after thematic review, compliance testing, periodic review, and surveillance. They offer fantastic team culture, broad exposure across both public and private sides of the business, and are open to taking those from an investment banking background.
- Responsible for the delivery of high quality Compliance monitoring activities across the business. Activities include regular testing, thematic and ad-hoc reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes.
- Lead reviews as/when required by the Compliance Monitoring Manager/Head of Compliance Monitoring & Assurance.
- Consult 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.
- Experience of contributing towards the delivery of risk-based Compliance monitoring plans
- Extensive regulatory compliance knowledge within the asset management or investment banking industry
- A good understanding of UK and other international regulatory requirements