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Compliance Associate

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Asset Mon role
  • Sector: Banking and Finance, Selby Jennings, Compliance
  • Date posted: 26/03/2018
Senior Manager, Compliance Monitoring

An international asset manager is looking for a Compliance Monitoring Manager to join an expanding team in central London. The position is one of strategic importance as a successful candidate will ensure all activities conducted are in compliance with governing regulations, internal policies, and procedures for the business as a whole.

Responsibilities:
  • Compliance Monitoring; Undertake daily, periodic and third-party oversight with the support of a Compliance Assistant
  • Ensure findings following testing of the compliance monitoring programme are documented and followed-up in a timely manner
  • Identify and monitor risks that the compliance monitoring programme faces and propose ways to mitigate these risks;
  • Provide data and written reports for inclusion in Board Reports
  • Perform general compliance tasks as well as involvement in ad hoc compliance projects and related Policy work.
  • Any other ad hoc duties you may be asked reasonably to perform consistently with your role and business-driven workflow.

Experience:
  • Proven prior monitoring experience,
  • KYC/financial crime knowledge,
  • Knowledge of a broad spectrum of institutional and/or retail wealth management issues;
  • Competent user of Microsoft Word, Excel, Publisher, PowerPoint and ideally Bloomberg
  • Excellent analytical skills and a questioning mind
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