Compliance Monitoring, Associate Director

Competitive Salary
27 Sep 2016
27 Oct 2016
Contract Type
Full Time
0-25% Travel

The Compliance team provides consultancy, monitoring and advisory services in Europe working in partnership with the other Oversight functions, such as Investment Compliance, Risk, Investigations and Intelligence and Internal Audit. The department's role is to provide an excellent compliance service, promoting a strong compliance culture and enhancing the effectiveness, long-term profitability and reputation of its company through pro-active management of regulatory and reputation risk, undertaken in partnership with the business, and in the best interests of our investors and customers. The Compliance team members are based in several locations, including Luxembourg, France, Germany, the UK, and the Asia Pacific region.


  • Keep up-to-date with the regulatory developments and assess the implications for the business.
  • Keep close to the business in order to assess any areas of regulatory risks, highlight the risks and liaise with the business to improve controls.
  • Undertake ad hoc reviews and in particular provide support to team colleagues where issues arise that require further investigation and/or control improvements.
  • Lead on some aspects of regulatory reporting, responding to regulatory information requests and planning regulatory visits.
  • May participate in various industry and trade body committees.
  • Lead or deputise for compliance on smaller strategic projects and initiatives.
  • Providing technical direction, supervision and support to more junior members of the team.



  • Minimum 8 years of experience in Compliance together with strong audit background. * Strong knowledge in asset management and Fund Industry.
  • Detailed understanding of the regulatory environment and principles.
  • Fluent in English and French, and ideally, also German.
  • Pro-active team player with the ability to work independently.
  • Excellent communication skills, both written and oral and able to communicate at all levels.
  • Strong organizational skills, with ability to prioritize, multi-task, and meet deadlines while working in a high pressure environment.
  • Assertiveness skills and ability to influence and convince.

THE CLIENT: Our client is an internationally recongnised financial services company.