Compliance Monitoring Manager recruitment
Working for a leading Investment firm, Reporting to the Head of Regulatory Risk Compliance, the Compliance Monitoring Manager will be responsible for establishing and operating a comprehensive monitoring programme for compliance within FSA regulations and guidance and in accordance with the annual compliance plan governing and all associated companies and relevant outsourcers.
Key Responsibilities will include:
Maintaining the compliance risk universe and developing the monitoring plan for approval by the Head of Team, ensuring efficient utilisation of available resources.
Arranging for Terms of Reference to be completed in relation to ad hoc monitoring reviews.
Arranging for regular reviews of policies and procedural documents and monitor compliance against them.
Monitoring compliance performance against the plan and reporting position to Head of Team.
Managing the activities of the monitoring and reporting consultants by developing, leading and motivating them.
Overseeing all monitoring activity including writing of monitoring reports, and undertaking reviews where appropriate.
Ensuring the production and maintenance of adequate records in accordance with FSA rules and guidance.
Skills and Experience required:
You will be educated to degree level (or equivalent) and have a relevant professional qualification, e.g. IMC, SII Diploma.
You will have extensive regulatory and asset management experience in a monitoring /audit role, You will have strong working knowledge of all relevant regulations, covering a range of regulatory disciplines which will provide expert understanding of either collective investment schemes and/or from office operations.
You will have some experience of managing people.
You will have excellent written and verbal communication skills combined with strong organisational skills.