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Senior Compliance Monitoring Officer

Posted 5 February by Lutine Bell Easy Apply Ended

This is a Fixed Term Contract role expected to last at least nine months

Main purpose of role

To undertake second line assurance activity in the form of compliance monitoring, to assess the adequacy of systems and controls in place across the business, including UK, Dublin and Cayman-based fund ranges, to mitigate against key regulatory and other review specific risk types.

Key Responsibilities and Scope of role

The role is to undertake designated compliance monitoring and assurance within the business and will include compliance oversight on a risk basis of worldwide third-party investment advisors, third-party fund administrators, trustees/custodians, prime brokers, investment management, fund distributors and internal functions. It will follow the framework of a risk based compliance monitoring program and investigate any relevant material issues/exceptions.

The Senior Compliance Officer is responsible for:

  • Undertaking risk-based compliance monitoring reviews as detailed within the risk based annual Compliance Monitoring Plan;
  • Arrange, prepare and where necessary lead audits in line with the compliance monitoring plan;
  • Prepare necessary reports including findings, actions for key stakeholders, covering monitoring exceptions and progress within the monitoring plan;
  • Assist with preparation of reports to the regulated Boards and Audit/Risk Committees, highlighting any specific high risk areas, management of actions and progress against the compliance monitoring programme;
  • Maintain awareness of global regulatory developments with regards to all business activities;
  • Assist with the oversight of all FCA regulatory returns; and
  • Provide technical support and develop the wider compliance monitoring team to maximise added value and efficient use of resources.

Key Risk and FCA requirements


Key Behavioural Skills

  • Specific technical competencies
  • Detailed knowledge of FCA/CBI/SFC/SEC regulations
  • Detailed knowledge of Money Laundering regulations

Plus behavioral competencies

Dependable: Act with integrity, due skill, care and diligence

Ensure customer outcomes are the focus of our business and we are respected by regulators

Stronger together:

Collaborate with peers across the Organisation

Share openly and be transparent

Adopt a responsible approach


Maintain our entrepreneurial culture

Strive for continuous improvement

Lead by example

Qualifications required:

  • Graduate calibre, IMC or other industry equivalent

Experience required:

  • Previous global asset management experience either in compliance, fund accounting, transfer agency or other business.

Required skills

  • Compliance
  • Compliance Monitoring
  • Investment
  • Risk Management

Reference: 34400595

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