Guideline Monitoring Manager recruitment

Overview of the Role

The Charles River Manager will be part of the Compliance team, managing the Guideline Monitoring team.

Working closely with other members of the team the main purpose of the role is to provide compliance assurance and regulatory advice.

Main Duties and Responsibilities

• Management of the guideline monitoring team

• Guideline monitoring of Charles River alerts and warnings

• Resolution of any pre-trade alerts and warnings

• Maintenance of Charles River rules

• Ensuring the timely completion of statutory notifications

• Daily, monthly and periodic monitoring

• Breach resolution

• Maintenance of the Embargoed Securities List

• Undertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the business

• Represent compliance interests in the firms projects and working groups

• Provide advice and guidance to the business on relevant regulatory issues

• Provide cover and assistance for other team members as necessary

• Deal with ad hoc queries

• To demonstrate awareness of TCF in relation to compliance related matters

• Liaison with fund Trustees and Depositary’s as necessary

Technical Skills Qualifications Required

• Management experience is essential

• Detailed knowledge of Charles River is essential

• Previous experience of working in an asset management function is essential

• Knowledge of UCITS regulations

• The IMC or IAQ qualification is desirable although not essential

• Good knowledge of statutory notifications

• Good working knowledge of FSA and/or SEC rules

• Previous experience of using Bloomberg is required

• Experience of derivatives monitoring would be an advantage

• Knowledge of private equity and property functions would be advantageous

Competencies Required

• Attention to detail

• Excellent communication skills, both written and spoken

• Ability to build relationships both internally and externally, and interact effectively as all levels

• Excellent knowledge of Microsoft office

• Good planning, organisational and prioritisation skills are essential

• Flexible, can-do attitude

• Ability to work effectively under pressure and meet tight deadlines

• Team player – able to work effectively with all members of the Compliance function

Registration Required                    No

For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to m.pollard@hamlynwilliams.com

Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services