Compliance Monitoring Manager – Investment Management

Location
London
Salary
£55K-£65K + Bonus & Benefits
Posted
15 Jan 2019
Closes
06 Feb 2019
Ref
C181
Contract Type
Permanent
Hours
Full Time
Travel
None

A leading Investment Management firm based in the City are looking for an Assistant Compliance Monitoring Manager to join their team assisting with the completion of the Compliance Monitoring programme.

Main Responsibilities:

  • Assist with the development of a risk based regulatory monitoring programme.
  • Develop test plans and documentation in support of monitoring activities.
  • Execute thematic, desk based and surveillance monitoring at agreed frequencies.
  • Complete testing write ups including identification of issues and recommendations.
  • Work with the business to track resolution of recommendations.
  • Assist with or lead other projects or initiatives as required.

Job Requirements:

  • At least 3 years compliance monitoring experience in an asset management firm.
  • An understanding of UCITS & AIFMD
  • Good communicator with excellent oral and written skills.

 

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