Compliance Surveillance Manager – VP recruitment

Our client, a leading asset management company, currently seeks a Compliance Surveillance Manager - VP, to be based in London

The Compliance Surveillance Manager - VP will be responsible for:
-Thorough and up to date understanding and practical experience of either buy-side or sell-side Fixed Income and Equity trading systems and processes
-Work with the Compliance Advisory teams for the Institutional and Retail businesses to ensure up to date and comprehensive understanding of these areas
-Work with the Head of Surveillance to develop and update the institutional and retail surveillance programme
-Plan and undertake surveillance
-Perform detailed reviews
-Prepare clear and organised surveillance workpapers
-Highlight findings from surveillance work performed to the Head of Surveillance
-Prepare detailed and clear write ups of findings arising from surveillance reviews
-Oversee and independently review surveillance work
-Interact with all levels of business management and staff
-Undertake ad-hoc projects at the request of the Head of Surveillance
-Liaise with Regulators and Auditors during their onsite visits

As such, the successful Compliance Surveillance Manager - VP will have the following skills and experience:
-Able to work independently with good time management skills.
-Practical experience of conducting retail and institutional surveillance in an asset management company.
-Knowledge and understanding of FSA and UCITS regulations.
-Good team player with strong interpersonal skills.
-Questioning and analytical mind.
-Working knowledge of Bloomberg and Microsoft Word, Excel and PowerPoint.
-Good written skills with attention to detail and verbal communication skills.

This is a great opportunity for an experienced Compliance Surveillance Manager - VP to work for one of the most respected companies in the world. If you have the above qualities, and wish to further your career as a Compliance Surveillance Manager - VP, then please apply today.

Randstad Financial Professional encourage applications from individuals of all ages backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial Professional acts as an employment agency for permanent recruitment an employment business for temporary recruitment as defined by the Conduct of Employment Agencies Employment Business Regulations 2003