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Compliance Monitoring Manager

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Manager Monitor
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 14/03/2018

A boutique investment bank is looking to add a Compliance Monitoring Manager to their central compliance function in the UK. The role will be focussed on the Compliance Monitoring space, reporting directly into the Head of Compliance, and interacting with senior stakeholders across the business.
Key Responsibilities:
  • Assist in the drafting and implementation a comprehensive, risk-based compliance monitoring programme.
  • Implement and run monitoring on key risk areas of the business.
  • Maintaining and monitoring personal account dealing using the My Compliance Office system 
  • Maintaining and monitoring insider lists and producing management information for the Compliance Officer and the Board.
  • Maintain and monitor all regulatory and business policies, procedures and related manuals to ensure that they explicitly define procedures and control activities to ensure compliance with regulations.
  • Demonstrate a sound knowledge of the structure of the FCA Handbook/rules along with the ability to extract relevant rules and guidance from the Handbook.

Key Requirements
  • Excellent knowledge of the FCA handbook
  • Strong understanding of European legislation in relation to wholesale investment banking
  • Experience in implementing and developing a compliance review / monitoring programme and framework
  • Worked within a Compliance monitoring / trade surveillance function with a reputable financial institution
  • Good communication skills
  • Strong educational background (Any professional compliance / audit qualifications are a bog bonus)
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