Compliance Monitoring Manager - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

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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