COMPLIANCE MONITORING VP, GLOBAL ASSET MANAGERS TO £50,000 - £70,000 PLUS EXCELLENT BENS, CITY
Our client, a major City based Global Asset Manager is seeking a Compliance Monitoring Associate to join their Compliance Monitoring team, which has responsibility for monitoring all UK and European entities to ensure they are complying with the appropriate regulations. It involves working closely with the wider compliance team. They are seeking an experienced compliance professional with good understanding of the FSA Rules with prior monitoring or audit experience and excellent communications skills.
Key responsibilities:
- Assisting with the implementation of a risk based monitoring program; ranging from portfolio management reviews such as best execution and allocation to carrying out branch due diligence visits
- Documenting issues, report writing and presentation of issues
- Follow up on any issues found during the monitoring reviews
- Review of regulatory changes, in conjunction with other Compliance Department members and considering the potential impact to the monitoring program
- Liaison with the wider Compliance team on an on-going basis
- Liaison with other business units and other external parties regarding the reviews
- Acting as Compliance contact for ad hoc projects
Skills qualifications
- Experienced compliance professional with good understanding of the FSA Rules with prior monitoring or audit experience
- Strong communication/interpersonal skills
- Excellent numerical and analytical skills
- Ability to use and understand a number of systems including Excel.
- Ability to work without close supervision and to meet deadlines
- Ability to communicate effectively at all levels within the Firm
- High standard of accuracy and excellent attention to detail
- Collaborative team player
- Ability to work on team projects and also work autonomously
