Compliance Monitoring Manager – Asset Management

Clarc Recruitment Limited
London (Greater)
09 Jun 2018
14 Jun 2018
Contract Type
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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