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:
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Supporting the Head of Compliance with regard to delivery of the Compliance Monitoring Plan and day to day supervision of the Compliance Monitoring team.
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Oversight and tracking the progress of the annual Compliance Monitoring Plan to ensure timely completion
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Conducting annual Compliance Risk Assessment including the annual risk scoring and planning process
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Assisting in high level reviews of law and regulation alignment to themes in the corporate monitoring system
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Quality assurance of thematic and surveillance work completed by analysts
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Conducting Compliance Monitoring Reviews as needed
Requirements:
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Strong Compliance background, preferably in 2nd line risk based / thematic monitoring
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Ideally worked in an Asset or Investment Management environment
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Experience of applying monitoring methodologies / audit methodology within financial organisations
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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
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Able to build and maintain relationships with key business stakeholders of all levels
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Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines
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Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately