Compliance Monitoring Manager – Investment Management
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.
- 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.
- 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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