Compliance Monitoring Temp
Salary £400 - £600 per day
Consultant Megan Craighead
Date posted 13 June 2022london banking-financial-services/compliance 2022-06-13 2022-07-13 banking London London 120 London Wall GB EC2Y 5ET GBP 400 600 600 DAY Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A leading European asset manager is looking to hire an experienced contractor into their compliance monitoring team. You will need to have strong experience in code of ethics monitoring, thematic review, compliance testing, compliance monitoring, and/or trade surveillance. Ideally you will also have strong asset management experience. This is a 3-6 month contract, with potential to be extended or go permanent.
- Daily monitoring in line with the compliance monitoring plan, including trade surveillance and best execution monitoring
- Ensuring adherence to the firm's Code of Ethics, particularly in relation to personal account dealing as well as gifts and entertainment processes
- Completing thematic and ad hoc monitoring reviews
- Supporting production of MI reporting to senior management
- Three years minimum experience in a compliance monitoring function within asset management preferred
- Strong knowledge of FCA rules and regulations
- Good knowledge of best compliance and regulatory peer practice
- Collaborative approach
About the Firm
Leading European asset manager with offices in the heart of the City of London. Hybrid working model, with three days in the office and two working from home. Good bonus scheme and excellent benefits.
Salary: £110,000 - £130,000 per annum + Competitive bonus scheme and fund carryLocation: LondonDate posted: 21 June 2022This is a newly created Compliance Officer role that will become the SMF 16/17 and build out the compliance programme for a rapidly growing commodities investment firm. This will be four days a week in their London offices near Hyde Park.
Salary: £500 - £700 per dayLocation: LondonDate posted: 20 June 2022A leading investment bank is looking for an experienced contractor to join the Compliance Investigations team for a well paid four month contract based in London. This is part of a global team that looks after control remediation, disciplinary proceedings, supervision failures, and regulatory interaction.
Salary: £100,000 - £120,000 per annumLocation: LondonDate posted: 05 May 2022This is a senior compliance hire that is critical to the firm’s UK and European growth plans. You will be reporting into the global Head of Compliance and work as part of the global compliance function, based across the UK, Asia, and Australia. This hire will oversee the compliance programme for the UK and Europe, as well as work to launch offices and secure licenses with the UK and EU regulators.
Salary: £105,000 - £125,000 per annum + discretionary bonusLocation: LondonDate posted: 13 June 2022A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.
Salary: £105,000 - £125,000 per annum + discretionary bonusLocation: LondonDate posted: 08 June 2022A leading global investment manager is looking for an experienced compliance professional to head up their investments advisory team. You will need strong MiFID and UCITS knowledge as well as management experience. Fixed income knowledge is also critical. This role is based in the City of London and will be in the office two days/week.