Senior Compliance Monitoring Manager – Wealth Manager

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  • Salary:

    £100,000 basic salary + package

  • Consultant:

    Edward Manson

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  • Published:

    3 months ago

Our client is a highly successful financial services organisation with a focus in the Wealth/Investment space and due to continued growth an exciting opportunity has come about for an experienced Compliance Monitoring specialist to join their London office.
• Lead the compliance monitoring and thematic review teams
• Implement, manage and keep under review a Compliance Monitoring & Thematic Review framework 
• Stay abreast of developments in FCA rules and good practice to ensure the Compliance Monitoring & Thematic Review framework remains fit for purpose
• Assist in the management of the wider compliance and governance teams
• Produce accurate and timely Management Information and reports for presentation at relevant boards and committees
• Ensure the team delivers daily, weekly, monthly and quarterly monitoring tasks
• Manage the compliance monitoring process and ensure reviews are conducted on time according to the agreed compliance monitoring programme
• Enhance and further develop monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse
Key Requirements: 
• Relevant Compliance Monitoring experience preferably gained within a Wealth or Investment or Asset Management environment.
• Strong understanding of industry practices and disciplines ideally having implemented and developed Compliance Monitoring frameworks in the past
• Working knowledge of FCA rules and Sourcebooks and good understanding of the emerging regulatory landscape Excellent stakeholder management skills at all levels of the organisation
• Good communication and report writing skills.