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Compliance Monitoring Temp

Robert Walters
Closing date
30 Jun 2022

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Contract Type
Full Time
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A leading European asset manager is looking to hire an experienced contractor into their compliance monitoring team. You will need to have strong experience in code of ethics monitoring, thematic review, compliance testing, compliance monitoring, and/or trade surveillance. Ideally you will also have strong asset management experience.

This is a 3-6 month contract, with potential to be extended or go permanent.

Key Responsibilities
  • Daily monitoring in line with the compliance monitoring plan, including trade surveillance and best execution monitoring
  • Ensuring adherence to the firm's Code of Ethics, particularly in relation to personal account dealing as well as gifts and entertainment processes
  • Completing thematic and ad hoc monitoring reviews
  • Supporting production of MI reporting to senior management

Key Requirements
  • Three years minimum experience in a compliance monitoring function within asset management preferred
  • Strong knowledge of FCA rules and regulations
  • Good knowledge of best compliance and regulatory peer practice
  • Collaborative approach

About the Firm

Leading European asset manager with offices in the heart of the City of London. Hybrid working model, with three days in the office and two working from home. Good bonus scheme and excellent benefits.
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