Compliance Monitoring Manager
A multi-specialist Investment Manager and Asset Manager is seeking a Senior Compliance Manager to join their compliance team. The company has three distinct divisions: asset/fund management, private client discretionary investment management and advisory trading, and private equity. This is a chance to join a growing organisation that prides itself on having a diverse blend of characters on its workforce. Through adopting an open door policy, the company has a transparent feel where you will have frequent engagement with senior stakeholders across the business and the successful candidate will sit in a position of real influence in the organisation.
Responsibilities include:-
(a) Assist the Compliance Officer to provide a stand-alone Compliance function that develops strategy to ensure that adequate policies, procedures and monitoring exist across the regulated businesses of the Group.
(b) Assist the Compliance Officer to develop and implement a continuous monitoring and supervision plan for the regulated businesses of the Group, and work with Senior Management to ensure that the Group possesses adequate management information about all aspects of concern to the Group Audit, Risk and Compliance Committee.
(c) Assist the Head of Legal and Regulatory Affairs in driving a strong compliance culture across the Group, including timely identification, escalation and resolution of any issues.
(d) Take some responsibility for training staff as part of the reinforcement or
(e) Work with GARCC to ensure that the risk appetite of the Group is determined, and that the stated risk appetite is reflected in the policies of the firm. Liaise with Finance to ensure that the ICAAP for the UK regulated entity is regularly reviewed.
(f) Assist the Compliance Office in his work in providing oversight of dealing for Jersey by the UK regulated entity.
The successful candidate should:-
• Be an experienced Compliance and/or Risk practitioner with at least 3 - 5 years’ experience, of which 3 will be in a similar role, gained across the fund management, private client investment management / advisory or private equity sectors.
• The candidate will need a good understanding of applicable FCA and other UK regulations.
If you feel you possess the qualities to succeed in application, please call Liam Connolly on 020 3465 0110 to find out more.
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