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Compliance Monitoring Officer – Asset Manager

  • Location: London
  • Salary: £50,000 - £60,000 per year
  • Job Type:Permanent

Posted over 1 year ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 11 May 2020
  • Job Ref: EM/16639



MERJE are currently representing a large global investment house in the search for a Compliance Monitoring specialist. 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 a part of a team of 3 supporting the Head of Compliance Monitoring.


You will be responsible for:


  • Assisting with the execution of the compliance monitoring plan to include:

-Planning monitoring assignments and executing them in a timely manner in line with the agreed monitoring plan

-Conducting the pre-scoping exercise for each monitoring review (including meeting with key stakeholders), documenting the scope

-Conducting all field work, evaluating risk and processes and procedures, documenting all testing and sampling.

-Compiling and organising all review documentation and testing output to ensure a clear audit trail

-Drafting reports and agreeing issues with stakeholders

  • Contributing to the Compliance Department’s assessment of the regulatory risks faced by the business
  • Involvement in ad hoc Compliance projects and tasks as appropriate
  • Representing the monitoring team at governance committees and forums as required and/or preparing monitoring MI




·         3-4 years of relevant 2nd line risk based / thematic monitoring experience

·         Ideally worked in an Asset or Investment Management environment

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

·         Demonstrate understanding of the 2nd line of defence and of Compliance review work in general

·         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