Monitoring & Supervision Associate – Asset/Fund Manager

London (Greater)
£50,000 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 Monitoring & Supervision Associate to work closely with the Business Risk Director.

The Role

Reporting in to the Business Risk Director, you will be part of a department which is responsible for the oversight and supervision of the discretionary business and provides guidance, advice and support on a range of wealth management areas.

You will be responsible for:

  • Undertaking and executing a significant part of the monitoring plan to ensure compliance with internal policies and procedures.
  • Acting in an advisory capacity to the business by fielding questions and proactively advising the business on compliance related issues and queries
  • Identifying areas which require further review, making recommendations or identifying potential resolution where appropriate
  • Reviewing of new account documentation and monitoring of existing processes and procedures
  • Identifying and reporting weaknesses in existing and recently implemented policies and procedures
  • Challenging current processes and policies with the view to improve and make these more efficient
  • Contributinh to an effective and positive risk management culture at the firm
  • Implementing and understanding the regulatory environment and any changes communicated by Compliance

Key Requirements-

  • Relevant Compliance or Risk experience, ideally gained in an Asset Management or Wealth Management environment
  • Knowledge of FCA rules (COBS, TCF) governing the Asset Management or Wealth 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