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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 email@example.com
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