Compliance Monitoring Executive - Regulatory Hosting

  • £75,000
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • LMA
  • 15 Aug 18 2018-08-15

Our client is a highly prestigious regulatory hosting enterprise holding in excess of 11 billion in assets on behalf of its clients

This role is a mixture of in-house compliance and compliance consulting


In order to assist the compliance team to effectively supervise client base, the successful candidate must demonstrate the following capabilities:

1. Client Compliance Infrastructure set up

Advise and assist in developing compliance policies and procedures bespoke to client.

Design compliance monitoring programmes (heatmaps) and monitoring work programmes (tests) based on client due diligence.

2. Client Compliance Monitoring and Ongoing advice and assistance

Implement and enhance compliance monitoring procedures, heatmaps and work programmes.

Regular on-site, client-facing monitoring visits to identify potential and current regulatory issues within a client’s business and work to resolve or reduce the risks

Production of compliance monitoring reports

Acting as point of contact for compliance issues for clients

Responsible for ensuring that the client is complying with compliance procedures.

Reviewing and approving client financial promotions. 

3. Client take-on

Responsible for the oversight of the onboarding associated with your allocated clients, and includes: dealing with compliance-related queries during the onboarding process; as well as steering the client through to the start of its regulated activities.  The candidate will not conduct the data-gathering or form-filling, these functions are handled by the on-boarding team.

Oversee regulatory due diligence on clients, individuals, corporates and funds in order to make an assessment of the client’s ‘threshold conditions’ and ‘fitness and proprietary’.

Oversee the creation of the Proposal to New Client Committee.  This proposal completes the onboarding process, and approval is required to take on a new client.

4. Compliance

Provide advice and assistance on UK and FCA requirements and obligations 

Assist the CCO with ongoing regulatory matters affecting the group and its clients.


Skills / Qualities

1. Essential

Relevant experience in compliance consulting or working at a FCA regulated firm;

Confident and strong character, able to stand his/her ground when dealing with typically strong-willed participants in the alternative investment industry;

Experience of the relevant regulatory environments (including but not limited to AIFMD, MiFID, CFTC/NFA, SEC, and MFSA) and willingness to learn others that may be required from time to time;

Team-orientated and able to collaborate well with others;

Ability to manage multiple client interactions as required – may include various time zones over time; and

Proactive communication and approach with excellent verbal written and presentation skills.

2. Desired

Entrepreneurial mind-set;

Attention to detail and constant desire to improve systems and processes in pursuit of operational best practice; and

Bring positive energy to the work environment that motivates team mates and colleagues.

Strong IT skills, able to thoroughly utilise new systems, as well as existing Office 365 environment.

Able to teach new people, and mentor younger colleagues.