Head of Compliance Monitoring - Investment / Fund / Asset Management
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.