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Compliance Monitoring Manager - Asset Management

Posted 19 February by MERJE Ltd Easy Apply Ended

Our Client

Our client is a well-regarded, reputable and entrepreneurial Asset Management business and due to continued growth they are looking to recruit a credible Compliance Monitoring Manager..

The Role

Managing a team within the Monitoring + Assurance function, you will be responsible for:

  • High quality Compliance monitoring activities including regular testing, thematic and ad-hoc reviews to test both compliance with regulation / legislation and the delivery of fair customer outcomes
  • Lead reviews as and when required by the Head of Compliance Monitoring and Assurance
  • Consult with the Compliance Advisory and Risk teams in order to ensure that the selection, scope setting and approach to delivering reviews are planned and targeted effectively
  • Complete review planning, taking into consideration regulatory requirements, breaches, complaints, Operational Risk MI and KPI information
  • Undertake testing; recording monitoring testing, findings and agreed actions using the compliance monitoring workflow tool
  • On an ad-hoc basis support the Head of Compliance Monitoring and Assurance with the production of periodic data for reporting to Boards and Committees in conjunction with the framework and reporting team
  • Be creative and identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
  • Support the Head of Compliance Monitoring and Assurance in maintaining compliance monitoring risk assessments

Key Requirements

To succeed in this role you will have:

  • Experience of contributing towards the delivery of risk-based Compliance monitoring plans
  • Relevant regulatory compliance knowledge within the asset management industry
  • A good understanding of UK regulatory requirements
  • Excellent written and oral communication skills
  • Strong planning and organising skills, reflecting a proactive approach
  • Attention to detail
  • Self-starter, high levels of initiative and a strong work ethic
  • Previous experience in managing small teams would be desirable

Required skills

  • Banking
  • Compliance
  • Regulations
  • Wealth Management

Reference: 34149384

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