- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
- Leading more complex assignments, which may include overseeing the quality other team members contributions.
- Mentor less experienced compliance team members and deputise for the Senior Compliance Manager when required.
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
- With the support of the Senior Compliance Manager, agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure. Highlight any delivery concerns.
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
- Make or assist with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status. This includes supporting the Head of Compliance with information for reports to the Audit Risk and Compliance Committee, Management Group, Board and the wider Handelsbanken Group as required.
- Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the company's risk profile and activities.
- Assist in training and educating the business on compliance matters of relevance.
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements.
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with process.
- Work independently while establishing solid relationships with the business.
- Champion a positive and effective compliance culture within HWAM, helping the business to manage compliance risks effectively within their respective areas of responsibility.
- Maintain an independent mind-set taking an impartial and objective view of internal practices, whilst maintaining good relationships that permit constructive and valued challenge.
- Develop relationships with the compliance functions in Handelsbanken plc.
- Assist as required in minute taking of departmental meetings.
- Proven compliance monitoring experience, likely gained from an Asset Management, Wealth Management or Retail Financial Advice Firm.
- Detailed knowledge of FCA rules and JMLSG Guidance Notes.
- Experience of asset management compliance monitoring is essential. More generalist monitoring experience, such as Suitability of Advice, would be useful.
- The ability to understand and communicate technical information in a way that is easy for others to understand is essential, as is the ability to interpret FCA regulations and other such communications.
- You will be a self-starter who is not afraid of taking responsibility and who is able to work both independently and in close collaboration with others.
- You will be able to build rapport and strong relationships quickly and be able to maintain and build on those relationships over time, becoming a trusted partner to the business.
- The area of work involves a high degree of accuracy, integrity and independence as well as the ability to work well within a small team environment. We take pride in our customer centric culture of good order and you will share our core values.
- Ability to communicate technical information effectively
- Ability to interpret FCA regulation
- Motivated self-starter
- Team player
- Customer outcomes focused
- High degree of accuracy, integrity & independence
-
Compliance Monitoring Manager
3 weeks ago
eFinancialCareers London, United KingdomWe 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 ...
-
Compliance Monitoring Manager
1 week ago
Arthur London, United Kingdom**Compliance Monitoring Manager (Insurance)** · **Company overview** · The Company currently writes lines of business including; specialty insurance: aviation & aerospace, energy, marine, property, credit & political risk, and other specialty; reinsurance: property reinsurance, p ...
-
Compliance Monitoring Manager
2 weeks ago
Avencia Consulting London, United Kingdom**About us** · Avencia Consulting are working with a leading Specialty Insurer based in the City, who have a newly created position for a Compliance Monitoring Manager to join. · The Company currently writes lines of business including; specialty insurance: aviation & aerospace, ...
-
Compliance Monitoring Manager
3 weeks ago
eFinancialCareers London, United KingdomCarr Lyons are currently working alongside an international investment bank in London to recruit a Compliance Monitoring Manager. · As a Compliance Monitoring Manager you will be responsible for conducting thematic reviews of various business policies within the investment bankin ...
-
Compliance Monitoring Manager
3 weeks ago
eFinancialCareers London, United KingdomA 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 d ...
-
Compliance Monitoring Manager
2 weeks ago
MERJE Ltd London, United KingdomA newly created role working for this global provider of specialty insurance and reinsurance products. · The Company currently writes lines of business including; specialty insurance: aviation & aerospace, energy, marine, property, credit & political risk, and other specialty; re ...
-
Compliance Monitoring Manager
3 weeks ago
eFinancialCareers London, United KingdomNEW ROLE - Compliance Monitoring Manager · Inside IR35 · ASAP Start · **Experience**: · - Experienced in compliance, risk or audit roles in a UK Asset, Platform &/or Wealth Management market · - Experience of compliance oversight/assurance activity, risk assurance or internal aud ...
-
Compliance Monitoring Manager
3 weeks ago
eFinancialCareers London, United Kingdom**Key Responsibilities**: · - Assist on the maintenance of the firm's registers. · - Counterparty onboarding and KYC/AML checks and work on Regulatory Submissions. · - Working on PA dealing and gifts and entertainment. · - To design and to help give Compliance training to the wid ...
-
Compliance Monitoring Manager
1 week ago
Mazars London, United KingdomOur Business Services team is a collective set of creative, strategic, forward-thinking business enablers. Together the People & Culture, Marketing & Communications, IT, Operations, Finance and Quality & Risk Management teams make it their mission to ensureMazars has the right to ...
-
Compliance Monitoring Manager
1 day ago
LHH Recruitment Solutions London, United KingdomThe Compliance Monitoring Manager will take a leading role in delivering the Regional Compliance Monitoring programme, including delivery at the checkpoints identified by the Regional Head of Compliance Monitoring. This role is instrumental to the improvementof risk management wi ...
-
Compliance Monitoring Senior Manager
3 weeks ago
eFinancialCareers London, United Kingdom**Role Description** · An international investment manager is looking for a Compliance Monitoring Senior Manager to join their Global Investment Compliance function on a permanent basis with a base salary of £85,000 + competitive bonus and benefits. This position will play a keyS ...
-
Transaction Monitoring Model Manager
2 weeks ago
Harnham London, United Kingdom**Transaction Monitoring Model Manager** · **Remote** · **Up to £80,000 + Competitive Bonus & Benefits** · **The Company** · Join a leading Tier 1 bank that is pushing boundaries in data, as well as changing the way flexible working works. This organisation invests in its employe ...
-
Compliance Professionals London, United Kingdom**THE COMPANY**: · Our client is a UK-leading investment firm, specialising in private client services. · **THE RESPONSIBILITIES**: · - Assist with the ongoing update to Compliance policies and procedures. · - Maintenance of the Compliance monitoring action log. · - Contribute to ...
-
Charity People London, United Kingdom**Location**: Central London (W1) and remote · **Salary**:£40,631 - £48,532 FTE · **Working hours**:Part Time · **Contract**:Permanent · **Closing date**:January 18, 2023 · Are you a passionate and proactive monitoring, evaluation and learning expert? Do you thrive across teams a ...
-
Monitoring Manager
3 days ago
Abbott World Marathon Majors United KingdomAbout us At Abbott World Marathon Majors, our vision is to inspire the world through marathon running. · We create, build and support opportunities for all to discover the power of the marathon, from our virtual Global Run Club challenges to our 375 partner races in our Age Grou ...
-
Monitoring Manager
1 week ago
Brian Durham Recruitment Services London, United KingdomBRIAN DURHAM RECRUITMENT SERVICES · Job Type: Permanent, Full Time · This ambitious Independent Property Finance company in London are currently looking to engage the services of an experienced Lending Manager who has acquired a wealth of Lending experience within the short ter ...
-
Monitoring Manager
4 weeks ago
JAM Recruitment England, United KingdomUK Corporate Immigration Manager / Senior Manager - UK Wide · Job Type: Permanent · 00 + Car + Bonus + Benefits · Start Date: ASAP · This global multinational is looking for a confident immigration professional, ideally legally qualified (not essential), with strong technical ...
-
Monitoring Manager
3 weeks ago
Excalibur United KingdomAn exciting opportunity has arisen for a highly motivated, articulate and personable person to join our Sixth Form Team as Sixth Form Manager on a maternity cover contract.You will need to be well organised with good IT skills and the ability to plan and prioritise your workload. ...
-
Data Manager for Performance Monitoring
2 weeks ago
VNA Recruitment Bromley, United Kingdom**Are you an experienced Data Manager with a background in Education?** · **Are you available immediately for a long term temporary position?** · **Can you attend the South East London offices 2 days per week?** · If so, this may be the ideal position for you: · **Our client seek ...
-
Compliance Monitoring Manager
1 week ago
Britannia Global Markets Limited London, United KingdomJob Description · THE COMPANY · Britannia Global Markets is a dynamic, fast-growing organisation that operates a full-service execution and clearing brokerage business covering Exchange Traded Derivatives, Cash Equities and Fixed Income, CFD's, Foreign Exchange, Repos and Structu ...
Compliance Manager, Monitoring - London, United Kingdom - Handelsbanken Wealth & Asset Management
Description
Handelsbanken Wealth & Asset Management is a wholly-owned subsidiary of the Handelsbanken Group and is responsible for all wealth and investment management activities of the Group in the UK. Founded in Sweden, Handelsbanken is one of the world's strongest banks and offers local relationship banking, advice and investment management to personal and corporate customers through its fast-growing network across the UK. For over 30 years we have been relied on by our customers, including business leaders and sophisticated financial professionals, to advise them and to manage their wealth. We focus on one objective – customer satisfaction – since a satisfied customer will be happy to both return and to recommend us.
This is an opportunity to join a successful and fast-growing national organisation with the added benefit of being part of a significant multinational group.
Handelsbanken Group are deeply committed to embedding good equality and diversity practice into all of our activities so that Handelsbanken Wealth & Asset Management is an inclusive, welcoming and inspiring place to work, regardless of age, disability, pregnancy and/or parental status, ethnicity, religion, sex, gender reassignment or sexual orientation.
Handelsbanken is offering a Hybrid Working Model. Our approach to hybrid working at Handelsbanken is that we spend the greater proportion of our working time at our workplace. Our remaining time may be worked from home.
This approach allows us to embrace the many benefits of hybrid working whilst sustaining and developing our unique culture.
We encourage and welcome applications from across the global community and all appointments are made solely on merit.
Role: Compliance Manager, Monitoring
Location: London
Remuneration: Competitive + Benefits
ROLE OVERVIEW
We are looking for an experienced Compliance Monitoring professional to join our team in London. You will have strong knowledge of the regulatory environment, with a bias towards the risks in the asset management sector and collective investment schemes. You will have an understanding of the role and responsibilities of an Authorised Corporate Director / Alternative Investment Fund Manager and the different parties that support them in their day to day operations. You will also have previous experience of providing assurance over collective investment schemes. You will be a self-starter, deadline focused along with the ability to prioritise your workload as demands change.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
SKILLS, EXPERIENCE AND QUALIFICATIONS:
Academic: CISI IAQ / IOC, Investment Compliance Diploma or other compliance qualification from the International Compliance Association (ICA) would be useful.