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Compliance Monitoring Officer

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Investment & Middle Office
Job Reference T3A/HGW/28408
Contact Harry Warwick
Date posted 22-03-2018

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

Key responsibilities include:
• Producing and delivering a compliance monitoring programme
• Conducting thematic and periodic reviews
• Escalating issues identified during the review process where required
• Using findings to assist in the development and updating of a regulatory framework

Required skills and experience:
• Experience conducting monitoring reviews
• Working experience of the processes behind investment management is ideal
• Good knowledge of the regulatory environment both in the UK and abroad
• Analytically minded

For more information please contact Harry Warwick on 020 3145 3362, or

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Contact Harry about this job

Director, Compliance, Finance & Legal