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Compliance & Monitoring Lead

Lloyd Recruitment Epsom
Redhill, UK
Closing date
25 Sep 2020

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Job Details

Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Lead, working for a forward-thinking and highly reputable client.

The successful individual will provide compliance support to both Fund and Portfolio Managers, with a focus on monitoring, including both regular and ad-hoc duties. These include:

* Support to COO and Head of Compliance & Legal

* Provide cost effective cover for other areas within the compliance team i.e. breach reporting / analysis, CASS

* Support in-house committees (e.g. Conduct & Policies, Financial Crime)

Responsibilities / Deliverables:

* Organise Compliance Monitoring Programme, gaining Board agreement

* Lead with preparation of monthly written reports, detailing the status of monitoring, issues identified and remedial action recommended

* Lead with rolling review of the compliance monitoring programme, to ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring

* Implementation of ongoing monitoring activities as well as the agreed thematic reviews

* Identify and risk rate deficiencies and work with line management on remediation plans

* Track activities through to completion

* Regularly report to the boards on progress

* Assist Due Diligence reviews or Third Party outsourced providers - ensuring detailed and meaningful reports are provided to Senior Management

* Conduct review, investigation and analysis of breaches

* Ensure that all incidents are recorded

* Assist in the analysis of the impact and implementation of new regulatory rules and guidelines


* Relevant qualification in Compliance

* Experience of working in Compliance and Financial Crime in the Finance Industry

* Experience in Asset Management or Investment Management an advantage

* Experience of applying monitoring methodologies / audit methodology within financial organisations

* Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions

* Able to build and maintain relationships with key business stakeholders of all levels

* Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines

* Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately

NB: We would like to thank you for your application, however unfortunately due to the volume of applications received; Lloyd Recruitment Services are only able to contact shortlisted applications
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