Accessibility Links

Compliance Associate

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Asset Mon role
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • 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
Similar jobs
Experienced Generalist Associate
  • Job type: Permanent
  • Location: Los Angeles
  • Salary: £140000 per annum
  • Description Working with one of Los Angeles premier banks, who are searching for an Experienced Associate to work in a Generalist capacity to add to their...
Sourcing Private Equity Associate
  • Job type: Permanent
  • Location: San Francisco
  • Salary: Competitive
  • Description Summary:  A leading lower middle market Private Equity firm that focuses on high growth service and technology businesses is currently seeking a driven, motivated, professional...
Commodities Sales - Derivatives - Analyst / Associate
  • Job type: Permanent
  • Location: New York
  • Salary: Competitive
  • Description Commodites Sales - Derivatives - Analyst / Associate An established trading house with a global presence is currently looking to add a metals sales person to their...
Legal and Compliance Advisor
  • Job type: Permanent
  • Location: Zürich
  • Salary: Competitive
  • Description An international financial firm specialized in investment funds is actively looking for a new Legal and Compliance Advisor to work closely with the middle office...
Private Equity (Reporting Analyst)
  • Job type: Permanent
  • Location: Los Angeles
  • Salary: Competitive
  • Description A global private equity firm in the Los Angeles area is looking to add a portfolio analysis and reporting associate to their team.  This is   ...