Assistant Manager: Compliance Monitoring

City based, global asset manager who manage $300 billion AUM across fixed income, alternative investment and equity markets, are keen to make an addition to their Compliance Team.

Role & Responsibilities

  • Ensure that monitoring is undertaken in accordance with the agreed programme and remains fit for purpose
  • Where required, assist senior management and staff to implement controls and procedures to ensure compliance with all relevant regulations, laws and codes
  • Undertaking Monitoring as required by the Compliance Monitoring Plans
  • Assist senior management and staff to implement controls and procedures to ensure compliance with all relevant regulations, laws and codes
  • Provision of written compliance monitoring reports outlining findings
  • Ensure that the programme remains appropriate and assist the senior compliance management to re-assess or re-define as required
  • Assist with compliance monitoring procedures, to ensure they are maintained for regulatory updates, changes to business practices and annual reviews
  • Incident recording, management and reporting to committees
  • Review of financial promotions
  • Assist with training requirements for the business
  • Responsible for managing DDQ’s, client questionnaires and RFP’s
  • Assist in resolving business compliance related matters and make recommendations to help provide a solution
  • Attendance at internal and external committees/forums/seminars and sharing the output with the compliance team
  • Perform compliance tasks as directed by management and the Head of Compliance

Background & Experience

  • Previous buy side compliance monitoring experience
  • Liaising with Investment Managers and senior members of staff to resolve issues
  • Pro-active and professional approach, together with excellent communication skills
  • Logical approach to problem solving
  • Ability to use initiative and work independently
  • Ability to be credible with senior stakeholders in the business and communicate key issues effectively

To hear more about this challenging opportunity, please contact Karen Consalvi on 020 7847 8874 or email karen@meredithbrown.com

Please note that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

 

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