Compliance Monitor - Investment Management

Charles Levick
London (Greater)
13 Feb 2018
16 Feb 2018
Contract Type
Full Time

We are working with a large and reputable investment management firm to help them find an accomplished compliance monitoring professional to join their growing team. This is an excellent opportunity for someone who interacts well with all business lines and who is wanting to make a real difference to the firm's operations via a solid knowledge of regulation.

Main responsibilities:

* Complete thematic reviews with a level of independence and autonomy.
* Apply rules and guidelines from regulatory source books to ensure the firm's practices and processes are compliant.
* Review current directives and regulations in order to make a practical application for various areas of the business.
* Be aware of regulatory developments and how these will affect business processes.
* Identify and monitor compliance breaches in line with the firms review process.
* Actively engage with various areas of the business to better understand processes and provide guidance.
* Report findings, develop recommendations, and implement remediation measures.
* Undertake ad-hoc compliance projects and support the Head of Compliance.

Skills & Experience:

* Previous experience in compliance monitoring role, preferably in the asset management sector.
* Several years' experience working in compliance within the financial services sector.
* Strong knowledge of CASS, COBS and Suitability requirements.
* Practical understanding of MiFID II and AIFMD and their implications and solid knowledge of investment products.
* Excellent communication and report writing skills with the ability to effectively influence and manage internal stakeholders.
* Previous experience completing various thematic reviews and reports.
* A friendly and confident disposition with the ability to work well independently and as part of a team.

The Compliance Practice at Charles Levick support Permanent, Contract and Interim recruitment specialising in requisitions ranging from entry level Compliance Assistants through to Senior Level Appointments. Our focus spans Financial Services to include both Buy and Sell side Capital Market organisations, Private and Wealth Management, Insurance, Life and Pensions, Consultancy and Third Party Market providers

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