Compliance Monitoring Manager

Recruiter
Cornwallis Elt
Location
London (Greater)
Posted
05 Dec 2018
Closes
08 Dec 2018
Sector
Legal
Contract Type
Permanent
Hours
Full Time
6 month contract. Main duties: Perform detailed monitoring reviews in accordance with the internal risk-based monitoring programme based on emerging risks and applicable FCA rules and regulations; Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and, work with the business to identify any issues and agree appropriate actions to address these; Ensure that any items that require follow-up are dealt with promptly and satisfactorily in liaison with relevant staff within the business and all relevant issues are resolved; Monitor the status of implementation of remedial action and where any issues are not implemented in line with agreed timelines are escalated Assist in developing compliance monitoring (MI) reporting as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces (amending the compliance monitoring programme where necessary); Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated; Perform general compliance tasks as well as involvement in ad hoc compliance projects; Draft and update processes and procedures as required; Key experience/skills: Strong experience or understanding of the asset management industry; Demonstrable experience working within Compliance Monitoring; Good knowledge of FCA rules or equivalent as applicable to a UK asset management and excellent knowledge of financial promotions and funds distribution elements Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds; A strong knowledge of corporate governance practice. If this opportunity is of interest and you feel that you have relevant experience. Please send your CV and your application will be considered within 24 hours. Cornwallis Elt is an Employment Agency and has been listed 3 times in The Sunday Times Virgin Fast Track 100 of the UK`s fastest growing private companies, as well as in the Recruitment International Top 250, Top 50 in IT and the Recruiter Fast 50. You can also follow our live roles on the website at http://www.cornwalliselt.com/live_roles and on Twitter: https://twitter.com/cornwalliselt

Similar jobs

Similar jobs