Senior Compliance Monitoring Manager - Wealth

Recruiter
MERJE Ltd
Location
London, UK
Salary
Competitive
Posted
26 Jul 2019
Closes
02 Aug 2019
Ref
1200731727
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Role
  • Lead the compliance monitoring and thematic review teams
  • Implement, manage and keep under review a Compliance Monitoring & Thematic Review framework
  • Stay abreast of developments in FCA rules and good practice to ensure the Compliance Monitoring & Thematic Review framework remains fit for purpose
  • Assist in the management of the wider compliance and governance teams
  • Produce accurate and timely Management Information and reports for presentation at relevant boards and committees
  • Ensure the team delivers daily, weekly, monthly and quarterly monitoring tasks
  • Manage the compliance monitoring process and ensure reviews are conducted on time according to the agreed compliance monitoring programme
  • Enhance and further develop monitoring tasks specifically in respect of Anti Money Laundering and Market Abuse

Key Requirements:
  • Relevant Compliance Monitoring experience preferably gained within a Wealth or Investment or Asset Management environment.
  • Strong understanding of industry practices and disciplines ideally having implemented and developed Compliance Monitoring frameworks in the past
  • Working knowledge of FCA rules and Sourcebooks and good understanding of the emerging regulatory landscape Excellent stakeholder management skills at all levels of the organisation
  • Good communication and report writing skills.

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