Compliance Monitoring Consultant – Asset Manager

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    over 2 years ago

A well established and highly successful Fund Manager, are seeking to recruit Compliance Monitoring Consultants to work closely with the Compliance Monitoring Managers in performing firm wide thematic reviews.
The Role:
Reporting in to the Compliance Monitoring Manager, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties including: 
  • Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes
  • Leading reviews as and when required by the Compliance Monitoring Manager/Head of Compliance Monitoring 
  • Consulting with the Compliance Advisory Teams and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
  • Taking responsibility for ensuring that where issues are identified, appropriate remedial actions are recommended to the business and tracked through to completion
  • The drafting and issuing of formal reports to the business
  • Assisting the Compliance Monitoring Manager/Head of Compliance Monitoring with the production of periodic reports to Boards and Committees.
Key Requirements:
This role would ideally suit a candidate who understands the mechanics of the Fund Management space. In order to be considered for the position candidates must:
  • Have solid knowledge Compliance Monitoring experience, ideally gained in an Asset Manager but other sector experience will be considered 
  • Have excellent knowledge of FCA rules governing the Asset Management space
  • Be degree educated – preferred but not essential
  • Be confident in dealing with senior stakeholders
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines