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Compliance Monitoring Manager - Funds

Closing date
15 Sep 2021

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We are working with one of the UK's most established Investment Managers in their search for a Compliance Monitoring Manager. This will sit in their Unit Trust business which has grown by £10bn of Assets over the last 10 years.

Key Requirements

You will be tasked with:

  • Overseeing an effective monitoring programme of the asset management business against the rules of the FCA and CSSF (Luxembourg)
  • Revising the monitoring programme to reflect changing regulation and business direction.
  • Preparing and undertaking monitoring reviews in accordance with the Plan.
  • Delivering findings to various areas of the business and ensure that any remediation is completed.
  • To report on findings to the Head of Compliance and to the firm's Executive Committee
  • To manage a more junior Compliance Analyst

Expertise required:

  • 4-6 years of relevant Compliance Monitoring experience ideally gained within a Funds or Asset Management business
  • Ideally need to have knowledge of Unit Trusts and applicable rulebook requirements surrounding this type of business ie COLL / Client Money
  • Ability to work under own initiative to deliver monitoring plan.
  • Excellent analytical and investigative skills.
  • Very good influencing skills with business partners
  • Demonstrate management skills with reporting staff member.
  • Self-sufficient individual with strong communication skills

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