Compliance Monitoring Officer - Thematic Reviews

  • £45,000 - £60,000 per annum
  • London, England, United Kingdom
  • Permanent, Full time
  • Investigo Compliance
  • 29 Sep 17 2017-09-29

Investigo Compliance are working alongside a leading, reputable Investment Management firm to recruit for a Compliance Monitoring expert to join their team on a permanent basis. You will work to undertake thematic monitoring reviews across various regulated entities in line with the risk-based Compliance Monitoring Programme.

Investigo Compliance are working alongside a leading, reputable Investment Management firm to recruit for a Compliance Monitoring expert to join their team on a permanent basis.

You will work to undertake thematic monitoring reviews across various regulated entities in line with the risk-based Compliance Monitoring Programme.

Duties to include;

  • development of the risk based Compliance Monitoring plan
  • ongoing monitoring, guideline surveillance and investigations
  • creation of management information reports
  • undertake face to face and desk based monitoring reviews of all businesses
  • writing detailed reports of conclusions following thematic reviews 
  • assisting with the development of a positive compliance culture across the wider business

Ideal candidates will have;

  • previous experience working within the Asset/Investment Management space
  • experience in the delivery of in depth thematic reviews
  • knowledge of FCA rules including COBS, SYSC and PRIN
  • knowledge of EU Directives (MIFID & EMIR)
  • strong communication skills with the ability to engage with stakeholders of all level

This is an excellent opportunity to join a reputable business at a time of development and growth. If you have the relevant skills and experience for this opportunity then please do apply as soon as possible.