Compliance Monitoring Associate

A global Fund Manager based in the City of London requires an exceptionally talented Compliance Analyst to join their Central Compliance Team, with a focus on Compliance Monitoring. The role will report in to a senior manager within this team who has extensive Fund management Compliance experience specialising in regulatory review monitoring. This role offers the opportunity to partner with and learn from a very well regarded compliance specialist.

The role will have coverage across all of the business including Equities, Fixed Income, Real Estate and Fund of Funds. The team are recently created as the company proactively manages increasing regulatory scrutiny. The company has an exceptional regulatory record and is very keen to maintain this. Here is a brief overview of the core responsibilities;

· Assisting with the timely completion of the Compliance Monitoring Program, including continuous monitoring
· Conduct targeted or thematic monitoring reviews of business areas and third party administrators and other outsourced service providers (e.g. investment managers). This may involve working closely with other assurance functions
· Ensuring that the monitoring program remains up to date
· Assist in the provision of regular reporting to relevant oversight committees and fund boards
· Provide support to the wider Compliance department on compliance monitoring matters
· Completion of ad hoc project work.

For this role you will be expected to have gained regulatory compliance experience specializing in Asset management, this could come from;
· In-house compliance experience gained within institutional fund management
· Regulatory consultancy experience again within asset management
· Experience working for the regulator specialising in asset management regulation

The role will offer very technical and hands on experience to set up the successful candidate for a very successful compliance career. There are various routes of internal development from this position.

Hays Investment Management Compliance is a dedicated recruitment function, focusing purely on regulatory compliance recruitment within the buy-side of the market, covering Asset Management, Hedge Funds, Private Equity, Wealth Management and Private Banking. We offer a unique insight into the investment compliance market, having developed a specialist network of both clients and candidates within this sector.

For a confidential discussion on this role, other opportunities in the market or a more broad discussion about the market at present please call Stephen Borner at Hays on 02034650110.

June 8, 2015 • Tags:  • Posted in: Financial

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