Compliance Monitoring Officer - Asset Management

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

The Client-

A prestigious US Asset Manager are seeking to recruit a Compliance Monitoring Officer who will ensure the timely execution of the firms International Compliance Monitoring Programme as well as providing oversight and due diligence of third party distributors of the firms funds.

This Client does not provide sponsorship.

The role-

Reporting into and working closely with the Compliance Monitoring Manager, your role will be to plan and develop the firms Compliance Monitoring and Surveillance Programme. Your day to day duties including (but not limited to) -

  • The ongoing review and development of the risk based thematic Monitoring and Surveillance Programme to ensure it covers all regulators and regulations relevant to the firm’s business
  • Assisting with the development of current testing programme
  • Assessment of the firm’s business to identify areas or processes of concern, key regulatory risks and regulator industry reviews aligning Monitoring activity as necessary
  • Performing thematic reviews
  • Performing surveillance testing of processes in the international business units
  • Reviewing third party distributors
  • Maintaining and developing your knowledge of current and upcoming regulations, especially MiFID II

Key Requirements-

  • Solid experience in a Compliance post within the Asset Management space
  • Detailed, technical knowledge of the UK and European regulations governing the Asset Management space
  • Good product knowledge of US mutual funds and UCITS will be seen as highly advantageous
  • Degree educated
  • Excellent interpersonal and influencing skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines