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Compliance Monitoring Specialist - 12mth FTC

The Ocean Partnership
Closing date
16 Jun 2021

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Job Details

The Ocean Partnership has been engaged to recruit an exciting opportunity to join a leading Asset Management firm in the London. This is a fantastic opportunity to perform Compliance monitoring reviews covering a variety of regulatory topics and across all business areas including investment teams, operational functions, sales and marketing, product development, outsourced providers.

Key Remits:
  • Leading EMEA and APAC Compliance monitoring reviews
  • Becoming an SME within due diligence visits and outsourcing reviews of material third party service providers
  • Continuously supporting additional tasks performed by the Monitoring team i.e. personal account dealing oversight, conflicts management and Compliance reporting
  • Conducting compliance monitoring and assurance for various fund ranges
  • Completing ad-hoc regulatory training across the business

Required Experience:
  • Established candidate with UK/EU compliance monitoring background ideally within asset management
  • Proven knowledge of COBs and COLL regulations
  • Broad exposure to the Luxembourg CSSF/FCA regulatory framework

Ocean is an equal opportunities professional recruitment partner and welcomes applicants from diverse candidates. Greater diversity means greater business. We look forward to hearing from you.
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