THE ASSET MANAGER
Our Client, a global award winning Asset Manager, has a great culture and growth strategy making this an excellent time to join.
This is a compliance monitoring role and responsibilities may include:
- Assist the Head of Compliance Monitoring in all aspects of delivering the Compliance Monitoring Programme (CMP)
- Help conduct second line compliance monitoring as agreed in the CMP including desk based monitoring, thematic reviews and monitoring covering all departments to identify gaps in processes & procedures
- Carry out monitoring tasks independently or in collaboration with other team members
- Create reports of completed reviews and monitoring activities
- Track and follow up of recommendations and actions
- Develop controls designed to ensure compliance with applicable laws and regulations
- Escalate regulatory and/or significant breaches to senior management
- Strong Compliance background is essential
- 3+ years in a Compliance Monitoring, Reviews or Audit style role
- Experience working within Financial Services and good working knowledge of the UK regulatory environment is essential
- Knowledge of FCA rules and regulation is essential
- Excellent verbal and written communication skills
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.