Compliance Monitoring & Surveillance
Our client, a leading name in global asset management has an opportunity for an accomplished Compliance Monitoring Specialist with buy side experience to join its best in Market Compliance Monitoring team.
As a Compliance Monitoring specialist, it is essential you will have prior experience of working within the buy side, ideally institutional asset management. This experience could be from a focused Compliance Monitoring Role, regulatory audit or a generalist compliance role. Strong stakeholder management skills are a pre requisite, and a passion for customer service essential. The company offer an excellent working environment where the business is very engaged with compliance, and so protecting and enhancing these relationships is of great importance.
Another key skill required is attention to detail and an appreciation of a robust monitoring process. Strong ability to deliver compliance in a commercial and engaging manner and to bring new ideas questioning ‘status quo’ will be recognised and supported. In addition, your strong written and verbal communication skills are essential, delivering compelling and accurate content in not only your reviews but also your reporting after completion.
This is a role supporting the Senior Management Team, with the potential for future promotions and continued professional development due to the size of this organisation, you will be given a great deal of autonomy in managing reviews and to manage upwards in helping top enhance the compliance monitoring programme. Of particular interest to my client are candidates with strong technical knowledge of European Regulation that impacts institutional asset managers including UCITS, MiFID, AIFMD and EMIR.
Here is an overview of some of the key responsibilities;
· Undertake and document allocated compliance monitoring reviews from within the monitoring programme to assess compliance with and adherence to regulations and internal policies, including resolving and escalating issues identified in a through and timely manner.
· Develop and enhance current test strategies employed to continually improve the monitoring framework and methodology with the ability to undertake ad hoc project work as required.
· Work collaboratively with monitoring team colleagues and other compliance resource at all levels sharing business unit knowledge and promoting best practice across the function.
· Complete administrative, "non-monitoring" tasks as required.
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.
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