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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 firms 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
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