Description
Compliance Monitoring - Fund Management - London
Role
Assist with and provide input to Compliance Regulatory Risk Assessment and Compliance Monitoring Programme.
Requirement/Responsibility
- Carrying out compliance monitoring as required in line with the Group.
- Ensuring supporting documentation for each monitoring test is clearly maintained in the relevant monitoring folders
- Reporting any critical review findings immediately to the Monitoring Manager or Head of Monitoring and in their absence the Head of Compliance
- Meeting with relevant operational business representatives to ensure any remedial recommendations/findings are completed within agreed timescales
- Assisting the Head of Monitoring with the maintenance of the CRRA and CMP for the Group and other stand-alone CMPs that have been established as needed
- Assisting the Head of Monitoring with reviewing and updating monitoring test templates as needed
Experience required
- Likely to have at least three years' experience of compliance within the asset management sector
- A good working knowledge of the relevant rules and regulations and the fund management industry
- Compliance monitoring experience in a UK regulatory environment
- Experience of working within an entity that has been registered with non-UK regulators eg SEC
- Compliance and industry related qualifications which might be of benefit to the Group eg Member of the Chartered Institute of Securities & Investments or other professional body
- Experience of dealings with the FCA and other financial services regulatory bodies, ideally the SEC & MAS
- Good working knowledge of MiFID/AIFMD