Compliance Monitoring Manager - London, United Kingdom - eFinancialCareers
Description
A Wealth & Asset Management business are looking to recruit a Compliance Monitoring Manager to assist the Head of Compliance monitoring on the development and execution of a risk-based program of thematic and desk-based monitoring.
Main Responsibilities
- Supporting the delivery of the annual compliance monitoring plan through thematic and focused monitoring reviews
- Testing key business processes and controls to determine whether they comply with applicable regulations and legislation
- Embedding and promoting a strong compliance culture across the business through effectively engaging with key business stakeholders in respect of their regulatory obligations
- Presenting findings of reviews and agree remedial actions with stakeholders
- Providing accurate and timely updates on monitoring activity that will be included in compliance MI packs
- Ensuring work is completed to a high standard of delivery and accuracy
- Keeping updated on changes to regulatory requirements, new legislation and codes of practice
- Working collaboratively with wider compliance function to ensure consistency of best practice
Job Requirements:
- Good academics, ideally including CISI
- Proven Compliance Monitoring & Surveillance experience
- Must have asset management or wealth management experience and demonstrate a strong understanding of the FCA handbook and key regulations, e.g. UCITS, AIFMD, EIRSA etc
- Strong attention to detail, with inquisitive and analytical mind set
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