Compliance Manager, Surveillance, Asset Management
Salary £55,000 - £75,000 per annum
Consultant Megan Craighead
Date posted 04 December 20192019-12-04 2020-02-02 banking London London 1 Coleman Street GB EC2R 5AA GBP 55000 75000 75000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
This is an exciting opportunity to join a growing team and firm in the dynamic and ever changing world of surveillance. You will be reporting into the Head of Surveillance and act as the next most senior member of the team. This role offers wide exposure across asset classes and strategies and will be instrumental in the implementation of new systems
- Contribute to the creation, implementation and delivery of a comprehensive, risk-based Compliance Surveillance Programme covering all businesses under scope and which reflects all relevant regulatory requirements impacting these businesses
- Identify regulatory issues and risks while carrying out effective surveillance testing, completing tests within the deadlines set, and ensure mitigating actions to resolve adverse findings are carried out in a timely fashion.
- Maintain detailed knowledge of relevant rules and legislation, analyse regulatory developments for impact on the businesses under scope.
- Proven experience in a surveillance focused compliance team, ideally within asset management
- Good understanding of FCA and PRA regulation relating to UK Insurance and Asset Management companies with specific focus on MAR & COBS
- Strong working knowledge of any of the following desks: Multi-Asset, Money Market, ETF, Private Credit
- Familiarity with Bloomberg, TCA and TradeWeb
- Working knowledge of at least one Market Abuse Surveillance System