Compliance Monitoring Manager – Asset Management

Recruiter
Clarc Recruitment Limited
Location
London (Greater)
Posted
09 Jun 2018
Closes
14 Jun 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

An asset management house is looking to hire a Compliance Monitoring Manager to join their team covering thematic, desk based & surveillance monitoring. Great opportunity for a compliance monitoring specialist or a candidate looking to focus on this area of compliance going forward.

Main Responsibilities:

  • Assist with the development of a risk based Compliance Monitoring Program.
  • Keep abreast of regulatory developments to ensure the program remains up to date.
  • Develop test plans and documentation in support of monitoring activities.
  • Execute thematic, desk based and surveillance monitoring at agreed frequencies.
  • Complete testing write ups including identification of issues and recommendations.
  • Work with the business to track resolution of recommendations.
  • Assist with or lead other projects or initiatives as required.

Job Requirements:

  • At least 5 years Compliance Monitoring experience
  • Strong Asset Management experience with knowledge of UCITS & AIFMD regulations.
  • Degree educated
  • Excellent communication skills, both written and oral.

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