Compliance Monitoring Analyst – Asset/Fund Manager

London (Greater)
£45,000 basic salary + highly competitive package
12 Nov 2017
18 Nov 2017
Contract Type
Full Time

Our Client

A well established and highly successful Asset/Fund Manager, are seeking to recruit a Compliance Monitoring Analyst to work closely with the Head of Compliance Monitoring in performing firm wide thematic reviews.

The Role

Reporting in to the Head of Compliance Monitoring, you will be expected to deliver high quality Compliance Monitoring activities in a targeted manner. Your duties will include:

  • Undertake thematic reviews and surveillance monitoring activities as established by the Compliance Monitoring Plan to ensure compliance with regulatory requirements and to test adherence to internal policies and procedures
  • Liaise with relevant staff/business managers to ensure that compliance monitoring findings are discussed and the timeframes for the completion of any remedial actions are agreed
  • Regular testing, thematic and ad-hoc reviews to test both compliance with regulation and the delivery of fair customer outcomes
  • Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Monitoring
  • Tracking remedial actions with the business and escalate where necessary
  • Assisting the Head of Compliance Monitoring with the production of periodic reports to Boards and Committees.
  • Support the Head of Compliance Monitoring with other ad hoc tasks

Key Requirements-

  • Have solid knowledge Compliance Monitoring experience, ideally gained in an Asset Management environment
  • Have excellent knowledge of FCA rules governing the Asset Management space
  • Be confident in dealing with senior stakeholders
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines