Compliance Monitoring Manager - Asset Management

London, South East England
10 Jun 2017
10 Jul 2017
Contract Type
Full Time

The Client-

Our client are a globally recognised asset manager and due to continued growth, they are looking to appoint a Compliance Monitoring Manager to provide assurance that Regulatory Risk is being adequately managed with a particular focus upon Trade Surveillance.

The role-

Playing an important part in the design, development and execution of the Risk based Compliance Monitoring and Trade Surveillance programmes, the successful candidate will be responsible for the following:

  • Setting up the second line Trade Surveillance program
  • Managing and performing the firms continuous Monitoring framework
  • Developing and producing MI and reporting for the Monitoring results to various Governance committees
  • Planning and executing thematic Monitoring assignments
  • Resolving Monitoring findings
  • Drafting and maintenance of Monitoring procedures
  • Contributing to the wider teams assessment

Key Requirements-

The ideal candidate will have:

  • Substantial Trade Surveillance experience gained either in buy or sell side
  • Experience of setting up a Trade Surveillance function will be viewed as highly advantageous
  • Excellent Compliance knowledge and understanding, in particular, MAR, Best Execution, Dealing and Managing
  • Able to work independently, to manage time effectively and to meet testing and reporting deadlines
  • Excellent interpersonal and communication skills