Senior Compliance Monitoring Officer

  • £63000 - £70000 per annum
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Cornwallis Elt
  • 18 Jun 18 2018-06-18

Senior Compliance Monitoring Officer Compliance Monitoring, Senior Compliance Analyst, Thematic Reviews, Fund Management, Multi-Asset Manager, Pooled Funds, Collective Investments, OEICs, UCITS, AIF, Unit Trust, Mutual Fund, FoF, Fund of Funds, FCA, CBI, CASS, 2nd Line Assurance

A well respected multi-asset management business are looking to appoint a permanent Senior Compliance Monitoring Officer.

Main focus:

  • Undertake second line assurance, specifically thematic compliance monitoring reviews
  • Determine the adequacy of systems and controls across the business
  • Support the Head of Compliance Monitoring in ensuring that business stakeholders and employees understand and adhere to applicable regulations and standards

Primary responsibilities:

  • Help setup a new Compliance Monitoring function
  • Prepare and execute the Annual Compliance Monitoring Plan to focus on all relevant regulated activities both internally and for external outsource providers with a particular focus on FCA/CBI/ UCITS/AIF, anti-money laundering(AML)/financial crime regulations and industry best practice
  • Prepare and execute the Annual Compliance Monitoring Plan in relation to all relevant Policies and Procedures
  • Attend internal and external reviews in line with the monitoring plan
  • Prepare and disseminate reports and MI for key stakeholders, including presentations to relevant committees and boards
  • Carry out the ‘due diligence’ process regarding delegated external Investment managers, both for initial take-on and for annual reviews
  • Develop strong relationships throughout the business and work closely with the central Risk and Internal Audit teams
  • Identify issues promptly and escalate to resolve and support root cause analysis to prevent any reoccurrence
  • Assist with the production of other risk management information for relevant committees and boards as required
  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice

Key Experience/Skills:

  • Strong knowledge of FCA/CBI/UCITS/AIF/CASS regulations
  • Experience of asset management Compliance Monitoring team
  • Good knowledge of investment products and instruments including derivatives
  • Good knowledge of investment lifecycles
  • Excellent analytical/MI skills
  • Excellent report writing skills
  • Graduate calibre

This is an excellent opportunity for someone to join a highly collaborative environment and realise career growth within a growing team.

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