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Compliance Monitoring Manager

Lloyd Recruitment Services Ltd
Reading, UK
Closing date
29 Oct 2020

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Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Manager, 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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