We are working with a multi-award investment wrap platform that are looking for a Compliance Monitoring Manager to join their growing team.
The ideal candidate will have at least 5 years experience in a similar role, ideally within asset management. The role would suit someone looking to step up in terms of scope and responsibility. Candidates with previous experience in audit will be considered.
The role requires compliance and regulatory experience, particuarly compliance monitoring experience. The objective is to manage firm wide compliance, educate and embed a compliance culture in-house. This role will be reporting directing to the Head of Compliance.
- Leading and maintaining an effective Compliance Monitoring team.
- Leading operationally independent second line risk based monitoring, and ad-hoc reviews of business compliance policies and processes.
- Reviewing, refreshing and delivering the annual risk based Compliance Monitoring Plan including conducting the monitoring programme risk assessment.
- Contributing to relevant internal and external consultations, discussions and policy debates and, as needed, representing the Group at industry working groups and trade associations.
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