Head of Compliance Monitoring - Investment / Fund / Asset Management

Maxfield Search & Selection Limited
£80,000 to £90,000 salary + excellent package
12 Apr 2017
12 May 2017
Contract Type
Full Time
My client is a leading Buy Side business looking for a Team Manager to deliver its Compliance Monitoring programme.

Key responsibilities of this position include:

- Developing the strategy, implementation and delivery of the monitoring programme.
- Managing a team of experienced individuals and act as the point of escalation for major issues.
- Ensure that all Compliance Monitoring assignments are allocated fairly across the monitoring team and supervised appropriately.
- Improve and enhance the existing monitoring programme to ensure that best practices are being used to investigate, resolve or escalate all matters of potential concern.
- Ensure that all Compliance Monitoring work is delivered to the highest standard with detailed and thorough monitoring papers being produced to support findings.
- Be the key point of contact for all monitoring related issues in front of the Regulator and an SME in business for all enquiries
- Ensure that surveillance arrangements are adequate and able to identify potential instances of market abuse.
- Ensuring that suitable processes are developed in response to any regulatory and legislative changes.

You will ideally have a number of years' experience working within a major Investment Management / Fund Management / Asset Management environment in a team leader capacity or the Deputy Head of a Compliance business stream (ideally monitoring).

Technical Requirements

- A minimum of 8-10 years' relevant work experience in the Buy Side.
- Strong analytical skills combined with proven knowledge of Compliance Monitoring and best practices.
- Demonstrable track record of excellent people leadership skills and the ability to develop and motivate team members.
- Demonstrable stakeholder management skills in building and maintaining strong business relationships across multiple business units in a medium to large sized corporation.
- Strong ability to communicate the need for change and coming up with effective ways to bring about process improvements.
- Excellent communication skills, both written and spoken.
- Ability to use initiative and influence a variety of stakeholders across all levels of the business.
- Excellent analytical skills, with the ability to present detailed analysis in a clear and concise manner.