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Compliance Monitoring Manager - Investment Monitoring - London

Job Title: Compliance Monitoring Manager - Investment Monitoring - London
Contract Type: Permanent
Location: London, England
Industry: financial services
Salary: £75000 - £85000 per annum
REF: BBBH21816_1571991634
Contact Name: Jack Quaile
Job Published: 19 days ago

Job Description

THE CLIENT

The client is one of the largest asset managers in Europe and operate on a global scale.

THE JOB

This is a compliance monitoring role and specifically your responsibilities will include:

  • Assist the Head of Compliance Monitoring in all aspects of delivering the monitoring programme
  • 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

  • Experience in a Compliance Monitoring, Reviews or Internal Audit role
  • Previous experience working within asset management
  • 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 Jack Quaile 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.