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Compliance Manager - Compliance Monitoring

Jobs in London Permanent

Job description

Prestigious London based client requires and accomplished Compliance Manager to perform compliance monitoring reviews in accordance with the risk-based monitoring programme incorporating applicable FCA and US rules and regulations.
Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and agree and conclude issue and actions with firm senior management,
Provide periodic and adhoc reporting on Compliance Monitoring issue and action status to Head of Compliance
Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance;
Assist in enhancing current compliance monitoring statistics (MI) as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces
Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated;
Review Financial Promotions and other marketing materials as required
Undertake Regulatory Reporting as required
Undertake Wall Crossings and deal with MNPI issues as required

Job requirements


Solid experience of the asset management industry;
Proven prior experience working within Compliance Monitoring roles;
Good knowledge of FCA and US rules as applicable to a UK Authorised firm and US Registered Investment Advisor asset management environments
Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, US Funds and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds
A strong knowledge of corporate governance practice.
Experience of Monitoring and Surveillance Activities
Experience of using Bloomberg systems


  • Jobs in London
  • Category: Management Jobs
  • Career level: ---
  • Salary: £550 - £600 per day
  • Job type: Permanent