Compliance Monitoring Manager
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| Job Type | Permanent Full Time |
| Location | City of London, EC4 |
| Area | Greater London, UK |
| Sector | Financial Services |
| Salary | £negotiable |
| Start Date | |
| Advertiser | Lloyd Recruitment |
| Telephone | 01372 818 299 |
| Job Ref | LO-10399 |
- Description
- Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Manager, working for a forward-thinking and highly reputable client.
The successful individual will provide compliance support to both Fund and Portfolio Managers, with a focus on monitoring, including both regular and ad-hoc duties. These include:
Support to COO and Head of Compliance & Legal
Provide cost effective cover for other areas within the compliance team i.e. breach reporting / analysis, CASS
Support in-house committees (e.g. Conduct & Policies, Financial Crime)
Responsibilities / Deliverables:
Organise Compliance Monitoring Programme, gaining Board agreement
Lead with preparation of monthly written reports, detailing the status of monitoring, issues identified and remedial action recommended
Lead with rolling review of the compliance monitoring programme, to ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring
Implementation of ongoing monitoring activities as well as the agreed thematic reviews
Identify and risk rate deficiencies and work with line management on remediation plans
Track activities through to completion
Regularly report to the boards on progress
Assist Due Diligence reviews or Third Party outsourced providers – ensuring detailed and meaningful reports are provided to Senior Management
Conduct review, investigation and analysis of breaches
Ensure that all incidents are recorded
Assist in the analysis of the impact and implementation of new regulatory rules and guidelines
Requirements:
Relevant qualification in Compliance
Experience of working in Compliance and Financial Crime in the Finance Industry
Experience in Asset Management or Investment Management an advantage
Experience of applying monitoring methodologies / audit methodology within financial organisations
Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions
Able to build and maintain relationships with key business stakeholders of all levels
Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines
Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately
NB: We would like to thank you for your application, however unfortunately due to the volume of applications received, Lloyd Recruitment Services are only able to contact shortlisted applications
