JS BHJOB6067_13256

Compliance Monitoring Officer

Compliance Monitoring Officer - Job representing image
Compliance Monitoring Officer

Compliance Monitoring, Senior Compliance Analyst, Thematic Reviews, Fund Management, Multi-Asset Manager, Pooled Funds, Collective Investments, OEICs, UCITS, AIF, Unit Trust, Mutual Fund, FoF, Fund of Funds, FCA, CBI, CASS, 2nd Line Assurance

A well respected multi-asset management business are looking to appoint a permanent Compliance Monitoring Officer.

Main focus:
  • Undertake second line assurance, specifically thematic compliance monitoring reviews
  • Determine the adequacy of systems and controls across the business
  • Support the Head of Compliance Monitoring in ensuring that business stakeholders and employees understand and adhere to applicable regulations and standards
Primary responsibilities:
  • Help setup a new Compliance Monitoring function
  • Help prepare and execute the Annual Compliance Monitoring Plan to focus on all relevant regulated activities both internally and for external outsource providers with a particular focus on FCA/CBI/UCITS/AIF, anti-money laundering(AML)/financial crime regulations and industry best practice
  • Prepare and execute the Annual Compliance Monitoring Plan in relation to all relevant Policies and Procedures
  • Attend internal and external reviews in line with the monitoring plan
  • Prepare and disseminate reports and MI for key stakeholders, including presentations to relevant committees and boards
  • Carry out the due diligence' process regarding delegated external Investment managers, both for initial take-on and for annual reviews
  • Develop strong relationships throughout the business and work closely with the central Risk and Internal Audit teams
  • Identify issues promptly and escalate to resolve and support root cause analysis to prevent any reoccurrence
  • Assist with the production of other risk management information for relevant committees and boards as required
  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice
Key Experience/Skills:
  • Strong knowledge of FCA/CBI/UCITS/AIF/CASS regulations
  • Experience of asset management Compliance Monitoring team
  • Good knowledge of investment products and instruments including derivatives
  • Good knowledge of investment life cycles
  • Excellent analytical/MI skills
  • Excellent report writing skills
  • Graduate calibre
This is an excellent opportunity for someone to join a highly collaborative environment and realise career growth within a growing team.

Cornwallis Elt is an Employment Agency and has been listed 3 times in The Sunday Times Virgin Fast Track 100 of the UKs fastest growing private companies, as well as in the Recruitment International Top 250, Top 50 in IT and the Recruiter Fast 50.
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London , United Kingdom
JS BHJOB6067_13256
Cornwallis Elt Ltd (Agency)