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Compliance Monitoring Officer

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/25729
Contact Harry Warwick
Date posted 03-04-2017

Our client, a leading UK Investment Management firm is looking for an experienced compliance officer to join their Legal & Compliance department as the Compliance Monitoring Officer.

As the Compliance Monitoring Officer your main duties will include:

• On-going review and development of the risk based thematic monitoring and surveillance programme to ensure it covers all regulators and regulations relevant to the firm’s business;
• Assist in the development of current testing programme to improve and develop the methodologies in line with the business.
• Conducting semi-annual Compliance visits to third party service providers. Including onsite reviews, sample testing and drafting a report of the summary findings to Compliance Monitoring Manager;
• Performing thematic reviews based on key regulatory issues or industry best practice, drafting the report of the findings.
The successful incumbent will have:
• Familiarity with the regulatory and legal requirements of the other key jurisdictions (Hong Kong, Japan and Singapore in particular).
• Good product knowledge – US mutual funds, UCITS products and separate account strategies
• Knowledge of FCA regulatory framework with some direct relevant experience.
• Excellent interpersonal and influencing skills.
• Able to work under pressure and produce results without close supervision

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

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Contact Harry about this job

Director, Compliance & Finance