Compliance Monitoring Officer – Asset Manager

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  • Salary:

    £50,000 - £60,000

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  • Published:

    7 months ago


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