VP Compliance Monitoring - Asset Management

City of London
£70000 - £80000 per annum
08 Oct 2012
05 Nov 2012
Michael Richards
Contract Type
Full Time

This new role represents an exciting opportunity for a compliance professional looking to develop their career further in investment management and with one of the largest firms of it's kind.

The Compliance Monitoring Manager's responsibilities will be:

  • Work with senior management to develop the monitoring programme for both institutional and retail businesses ensuring it is risk-based and compliant with regulatory changes
  • Research, plan and undertake detailed risk reviews/audits to assess regulatory risk and compliance with rules and regulations
  • Liaise with Regulators and audits during their onsite visits
  • Provide advice and training on FSA and investment regulations to a broad range of stakeholders
  • Liaise with Senior management regularly in identifying risks within the business and developing actions to remedy

Key skills/Experience Required:

  • 5+ years internal audit/compliance monitoring background in Asset management
  • Experience conducting retail and institutional monitoring in an audit or compliance monitoring capacity
  • ACCA qualification or equivalent desirable
  • Knowledge of UCITS and OEICS desirable
  • Strong interpersonal skills
  • Excellent report writing skills

Location: City of London

Salary: £70 - £80,000

If you would like to work for one of the leaders in financial services please send your CV in for consideration.

To find out more about Real Staffing please visit www.realstaffing.com

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