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Compliance Monitoring Manager

Salary £65k to £80k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/JOES/25627
Contact Joe Smith
Date posted 16-03-2017

A leading Asset Manager is currently looking for a Compliance Monitoring Manager to join their growing Compliance department. This role is responsible for performing detailed reviews in accordance with the internal risk-based monitoring programme based on emerging risks and applicable FCA rules and regulations.

As the Compliance Monitoring Manager your responsibilities will include:

• Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and, work with the business to bottom out the issues and agree appropriate actions to address these;
• Ensure that any adverse findings or those requiring follow-up are dealt with promptly and satisfactorily in liaison with relevant staff within the business and all relevant issues closed out satisfactorily;
• Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance.

The successful incumbent will have:

• Strong experience or understanding of the asset management industry;
• Proven prior experience working within Compliance Monitoring and AML roles;
• Good knowledge of FCA rules or equivalent as applicable to a UK asset management environments and excellent knowledge of financial promotions and funds distribution elements
• Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds.

For more information on the role please contact Adam Pollard on 02031453348 or

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Contact Joe about this job

Associate, Consultant