Accessibility Links

Compliance Monitoring Manager

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Manager Monitor
  • Sector: Banking and Finance, Selby Jennings, Compliance
  • 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)
Similar jobs
Compliance Manager | Established Bank | Singapore
  • Job type: Permanent
  • Location: Singapore
  • Salary: S$80000 - S$120000 per annum
  • Description Exciting Compliance advisory role with an established bank with strong regional presence based in Singapore. This is a deputy team lead role.
Head of AML | Leading Bank | Singapore
  • Job type: Permanent
  • Location: Singapore
  • Salary: S$120000 - S$240000 per annum
  • Description Our client is a leading Global Bank with a strong regional presence. We are hiring a Head of AML to be based in the Singapore office and this role will cover the country AML function.
Compliance Officer
  • Job type: Permanent
  • Location: Hong Kong
  • Salary: Competitive
  • Description Responsibilities: Assist the Head of Compliance in managing the regulatory risk of the Group in Hong Kong.Assist the Compliance Manager in executing Compliance related monitoring plans
Senior Compliance Officer - Legal advisory
  • Job type: Permanent
  • Location: Zürich
  • Salary: Negotiable
  • Description An international investment firm with a global exposure is actively seeking a Senior Compliance Officer for its office in Zurich. As part of a multicultural and dynamic team and directly reporting to
Director, Regulatory Risk; Global Bank; New York
  • Job type: Permanent
  • Location: New York
  • Salary: Negotiable
  • Description A global bank is seeking a senior regulatory compliance and risk management professional with a legal background and expertise in Dodd-Frank.