Job Description
THE ASSET MANAGER
Our Client, a global Asset Manager with a great culture and growth strategy is looking for a Compliance Monitoring Manager.
THE JOB
- Help conduct second line compliance monitoring as agreed in the Compliance Monitoring Programme 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
YOUR BACKGROUND
- Strong Compliance background is essential
- 3+ years in a Compliance Monitoring, Reviews or Audit style role
- Experience working within Asset Management 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
