Thematic Monitoring Compliance VP
Our client is a top tier, truly global Asset Management firm that work with both institutional and retail clients. They are currently looking for a Thematic Monitoring VP to join their established Compliance Department. The Thematic Monitoring team develops and delivers a risk-based regulatory compliance monitoring program across the EMEA business.
Key Accountabilities Include:
- Spear-heading the team’s identification and mitigation of critical areas of conduct risk
- Mentoring junior team members and encouraging their development
- Liaising with the Head of Thematic Monitoring to ensure the continuous relevance of the monitoring framework
- Spear-heading the delivery of the key elements of the thematic monitoring framework, taking responsibility for a significant number of these
- Conducting complete monitoring reviews (from preparation through to write-up) on a regular basis
- Facing off to senior management
- Presenting all findings and recommendations to relevant stakeholders
- Liaising and coordinating with other control functions
The successful candidate should have a solid background in designing and implementing internal compliance monitoring frameworks and conducting deep dive regulatory reviews. A proven track record in an Asset Manager would be preferable. Senior-level experience is required with experience of leading a team is preferable. This role would enable you to lead a team in an excellent firm, who are constantly at the forefront of product innovation and is continually expanding its global reach.
To discuss this opportunity and others with Asset Management, please contact Agi Heale on 0203 145 3376 or at agi.heale@bruinfinancial.com.
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