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Compliance Monitoring Manager – Funds

  • Location: City of London, United Kingdom
  • Salary: £80,000 - £90,000 per year
  • Job Type:Permanent

Posted 8 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Contact Phone: 02036371600
  • Expiry Date: 09 October 2021
  • Job Ref: EM/17982

We are working with one of the UK’s most established Investment Managers in their search for a Compliance Monitoring Manager. This will sit in their Unit Trust business which has grown by £10bn of Assets over the last 10 years.

Key Requirements:

You will be tasked with:

·         Overseeing an effective monitoring programme of the asset management business against the rules of the FCA and CSSF (Luxembourg)

·         Revising the monitoring programme to reflect changing regulation and business direction.

·         Preparing and undertaking monitoring reviews in accordance with the Plan.

·         Delivering findings to various areas of the business and ensure that any remediation is completed.

·         To report on findings to the Head of Compliance and to the firm’s Executive Committee

·         To manage a more junior Compliance Analyst


Expertise required:


·         4-6 years of relevant Compliance Monitoring experience ideally gained within a Funds or Asset Management business

·         Ideally need to have knowledge of Unit Trusts and applicable rulebook requirements surrounding this type of business ie COLL / Client Money

·         Ability to work under own initiative to deliver monitoring plan.

·         Excellent analytical and investigative skills.

·         Very good influencing skills with business partners

·         Demonstrate management skills with reporting staff member.

·         Self-sufficient individual with strong communication skills