UK Compliance Monitoring Manager
Compliance Monitoring Manager
A leading international investment management firm is searching for a new Compliance Monitoring Manager to join its team.
The role will provide you with exposure across a broad range of investment types (equities, fixed income, property) and products (regulated funds/unregulated funds/segregated clients/structured products).
As a compliance team manager, you will interact with the vast majority of the company's employees including Compliance team members (in the UK and Globally), Fund Managers, Research analysts, Dealers, Control Departments, Operations and support staff. You will also be responsible for managing relationships with outsourced service providers, industry bodies and consultants.
Key Responsibilities:
• Lead independent second line risk-based compliance monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and Group policy
• Lead the drafting of terms of reference for themed reviews, reports and track issues to closure
• Oversee the performance of risk-based surveillance to confirm that first line compliance controls are operating effectively
• Lead development of surveillance and compliance monitoring activities
• Assist in development and implementation of automated solutions for Compliance Monitoring
• Build strong relationships with and provide support to other Compliance team members
• Establish and maintain constructive relationships within relevant business areas
Knowledge Required:
You must have prior experience working within an investment management firm or as a consultant to investment management firms
A good understanding of FCA rules and guidance is required as well as knowledge of a broad range of investment types
Experience:
Minimum 3 years experience in compliance, audit or legal.
If you are interested in the position, please contact Katy Quicke at Hays on 020 3465 0110
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