Compliance Monitoring Manager recruitment
Our client is a specialist Asset Manager with AUM in excess of £140bn across the asset classes. They are looking for a Compliance Manager to lead monitoring across the institution, manage a small team and deputise for the Chief Compliance Officer.
Your main responsibilities are:
• Overseeing the delivery of the risk based monitoring plans through regular compliance functional and desk based reviews, covering all aspects of operations, including outsourced activities.
• Developing, maintaining and implementing the compliance monitoring plans and programme.
• Reviewing and completeness and signing off the monthly desk based monitoring reviews of dealing and best execution controls.
• Overseeing the daily monitoring of client mandate and regulatory restrictions with Latent Zero Sentinel, and ensuring any breaches are escalated promptly.
• Preparation of the eighteen month rolling monitoring plans for each regulated entity for submission to the Company Board.
• Escalating monitoring queries to line and senior management.
• Reporting compliance monitoring related matter to the Board and other appropriate groups.
• Ad hoc compliance related issues.
This role is suited to someone with a proven track record of Compliance within Asset Management and some experience at a manager level. The position requires a proactive approach to establishing a monitoring programme to operate efficiently in a pressurised environment. The main focus is to quickly and accurately identifying the severity of any issues and appropriately determining the correct resolution process. This position would be ideal for someone seeking a constantly changing business environment accompanied with the exposure to a wide variety of asset classes.
To discuss this opportunity and others within Asset Management, please contact Khurram Somra on 02031453380 or at Khurram.somra@bruinfinancial.com.