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Compliance Monitoring Manager – Asset Manager

  • Location: London
  • Salary: £70,000 - £85,000 per year
  • Job Type:Permanent

Posted over 1 year ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 01 October 2020
  • Job Ref: EM/16659

MERJE are currently representing a large global investment house in the search for a Compliance Monitoring Manager. Our client is highly reputable Asset Manager with a focus on emerging-market equities, multi-asset strategies, absolute return investing and global bonds.


The Role:


The key objective of the role is to provide assurance that regulatory risk is being adequately managed within the business and the individual will be leading a team of 3 as the Monitoring Manager.


You will be responsible for:


  • Supporting the Head of Compliance with regard to delivery of the Compliance Monitoring Plan and day to day supervision of the Compliance Monitoring team.

  • Oversight and tracking the progress of the annual Compliance Monitoring Plan to ensure timely completion

  • Conducting annual Compliance Risk Assessment including the annual risk scoring and planning process

  • Assisting in high level reviews of law and regulation alignment to themes in the corporate monitoring system

  • Quality assurance of thematic and surveillance work completed by analysts

  • Conducting Compliance Monitoring Reviews as needed




  • Strong Compliance background, preferably in 2nd line risk based / thematic monitoring

  • Ideally worked in an Asset or Investment Management environment

  • Experience of applying monitoring methodologies / audit methodology within financial organisations

  • Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions

  • Able to build and maintain relationships with key business stakeholders of all levels

  • Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines

  • Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately