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.
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
· 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