Compliance Monitoring Manager - Asset Manager - London

Job Title: Compliance Monitoring Manager - Asset Manager - London
Contract Type: Permanent
Location: London, England
Salary: £60000 - £80000 per annum
Reference: BBBH21816_1566405789
Contact Name: Hannah Berihun
Contact Email:
Job Published: August 21, 2019 17:43

Job Description


Our Client, a global Asset Manager with a great culture and growth strategy is looking for a Compliance Monitoring Manager.


  • 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


  • 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