Compliance Monitoring Manager - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

We are exclusively recruiting for a well-established Asset Management business that is looking to recruit a Compliance Monitoring Manager to join this highly successful business.

Reporting to the Head of Compliance Monitoring working within a broader compliancefunction this could be the ideal opportunity for someone looking to make the next step up in their career working with some great individuals both in the compliance team and wider business.

Main Responsibilities:

Develop and maintain the firm's compliance oversight programme, incorporating internal and outsourced activities.
Review and evaluate endtoend processes and assess whether internal controls are appropriately designed and operating effectively.
Document the testing to evaluate the effectiveness of internal controls.
Discuss and validate potential control design and operating effectiveness issues with the appropriate owners.
Develop appropriate surveillance procedures (Conduct and Market Abuse).
Provide oversight of the management of regulatory risk by outsourced service providers to ensure processes and controls are adequate.
Escalate any issues/risks and potential issues/risks to the CCO

Job Requirements:

At least 5 years Compliance Monitoring & Testing experience from within a similar asset management business.
Strong levels of detail, comfortable carrying out daily processes and monitoring.
Excellent interpersonal skills.
Good communicator, comfortable dealing with all levels of staff.