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Compliance Monitoring Manager – Asset Manager

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £70,000 - £85,000

  • Consultant:

    Edward Manson

  • Email:

    emanson@merje.com

  • Job ref:

    EM/16659

  • Published:

    6 months ago

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

 

Requirements:

 

  • 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