Compliance Monitoring Officer
One of the top Global Investment Management firms in London seeks an AVP level Compliance Monitoring Officer to join their team in the City of London.
The firm has an outstanding reputation and has assets under management that value in the trillions. You'd be joining a team that can not only provide career progression but also enormous opportunity to broaden your career horizons.
As Compliance Monitoring Officer - your responsibilities would be:
• Undertake detailed reviews in accordance with the monitoring programme to assess compliance with applicable rules and regulations; including monitoring reviews of front office, segregated and pooled fund activities, client money controls, suitability, sales marketing, vendor management, new business areas, etc.
• Highlight findings from monitoring work performed to the Head of Monitoring in a timely manner and, together work with the business to bottom out the issue and agree appropriate actions to address these.
• Prepare detailed and clear write ups of findings arising from monitoring reviews, including practical and relevant recommendations for the business to address these findings.
• Make suggestions to enhance monitoring procedures to the Head of Monitoring.
• Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines; escalate to the Head of Monitoring.
• Assist with the design and implementation of monitoring electronic exception reports and tools.
• Interact with all levels of business management and staff. Meet regularly with key business staff to stay abreast of changes within the business and issues arising.
• Undertake ad-hoc projects at the request of the Head of Monitoring.
• Additional responsibilities for the Conflicts role include approving staff dealing requests, monitoring the receipt of trade confirmations, performing monthly and ad hoc surveillance reviews, administering the 'banned' and 'restricted' lists and compiling monthly statistics.
Required Skills:
• Thorough and up to date understanding and practical experience of either buy-side or sell-side Fixed Income and Equity trading systems and processes, including programme trading, direct market access and algorithmic trading.
• Knowledge and understanding of FSA and UCITS regulations.
• Working knowledge of Bloomberg and Microsoft Word, Excel and PowerPoint.
• Good written skills with attention to detail and verbal communication skills.
• Excellent communication skills
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