THE INVESTMENT MANAGER
Our Client, a Global Investment Manager, has a strong reputation and enviable presence in its respected markets. The firm has maintained an excellent culture within Compliance & Financial Crime due to the level of experience and expertise across the senior management team. The role is broad and dynamic in scope, offering you excellent exposure across one of the market's leading investment teams.
This is a manager level role and specifically your responsibilities will include:
- Assist the Compliance Manager in all aspects of delivering the monitoring programme
- Carry out desk based and thematic reviews of the business
- Carry out monitoring tasks independently or in collaboration with other team members
- Creating reports of completed reviews and monitoring activities
- Tracking and follow up of recommendations and actions
- Develops controls designed to ensure compliance with applicable laws and regulations
- Help conduct second line compliance monitoring as agreed in the Compliance Monitoring Programme including desk based monitoring, thematic reviews and monitoring covering all departments of the firm to identifying gaps in processes & procedures
- Escalate regulatory and/or significant breaches to senior management
- Strong Compliance background is essential
- 5+ years in a Compliance Monitoring, Reviews or Audit role
- Good working knowledge of the UK regulatory environment and how the FCA requirements apply to investment management firms
- Experienced knowledge of FCA rules and regulation
- 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 Drake 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.