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Compliance Monitoring Manager | Asset Management

Job Title: Compliance Monitoring Manager | Asset Management
Contract Type: Permanent
Location: London, England
Industry:
Salary: Negotiable
REF: CDE20318_1521572645
Contact Name: Chloe Devlin
Contact Email: Chloe.Devlin@ojassociates.com
Job Published: 9 months ago

Job Description

A mid-size Asset Manager are looking for an experienced compliance professional to join their team as a compliance monitoring manager based at their offices in The City. The company culture is inclusive with regular exposure to senior stakeholders across the business.

A mid-size Asset Manager are looking for an experienced compliance professional to join their team as a compliance monitoring manager based at their offices in The City. The company culture is inclusive with regular exposure to senior stakeholders across the business.

Role

  • Assist with the development and execution of a risk-based compliance monitoring program
  • Develop and execute the annual compliance regulatory risk assessment
  • Develop test plans and documentation in support of monitoring activities
  • Execute desk based and surveillance monitoring
  • Provide cover for guideline monitoring team when required

Key Requirements

  • Asset Management Compliance Experience
  • Experience assisting in the development of a compliance monitoring program/plan
  • Good Investment product knowledge (equities, fixed income, derivatives)
  • Practical knowledge of UCITS funds as well as the FCA rule-book.

If you believe you meet the above requirements, then please apply online today.