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Compliance Monitoring Officer

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Investment & Middle Office
Job Reference T3A/JOES/28393
Contact Joe Smith
Date posted 21-03-2018

Our client, a top tier asset manager, is looking for Compliance Monitoring Officer to join their London based Compliance team. The successful candidate will have good Compliance Monitoring experience ideally from within asset management.

Key responsibilities include:
• Executing thematic reviews across a range of topics to identify and analyse
• Leading surveillance with a risk based approach to ensure appropriate controls are in place and operating as they should
• Undertaking investigations alongside senior members of staff where necessary
• Build and maintain relationships across the business in order to support a strong compliance culture across all business areas

Required skills and experience:
• Good compliance monitoring experience ideally from within asset management
• Strong knowledge of the processes behind asset management
• Good familiarity with the regulatory framework both in the UK and abroad
• Analytically and technically minded
• Educated to degree level

For more information please contact Joe Smith on 020 3145 3376, or

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AVP, Consultant