Senior Compliance Monitoring Officer

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Investigo Compliance
  • 09 Aug 18 2018-08-09

An investment management firm are looking to hire a Senior Compliance Monitoring Officer to join their Monitoring function. Please apply if you have solid experience leading thematic reviews across an investment management business.

Key responsibilities:

  • Work closely with the Head of Compliance Monitoring to assist in the development, implementation and delivery of the Compliance Monitoring Programme
  • Keep up to date with all regulatory developments and assess how they could impact/affect the business
  • Review and update the Compliance manual and internal policies and ensure all are fit for purpose; feedback any improvements to the Head of Compliance Monitoring
  • Prepare Ml reports to Senior Management and the Board and include any recommendations
  • Participate in ad-hoc project work as delegated by the head of department

Successful candidates will have:

  • Regulatory monitoring experience, knowledge of UK regulatory requirements
  • Experience in carrying out thematic reviews of various business areas within asset management
  • Excellent communication skills, written and verbal
  • Experience with Windows based word processing, spreadsheet and database applications