Compliance Monitoring Officer
Jameson Legal
4d ago

About the Role / Client

An Asset Manager is looking for an experienced compliance professional to join their team. The focus is going to be across compliance monitoring but given the size of the team you will need to get involved in other activities

Job Purpose :

Provide compliance support to the business with a particular focus on monitoring, including both regular reviews and ad hoc audits.

This includes :

  • General support to COO and Head of Compliance
  • Ability to provide effective cover for other areas within the Compliance team e.g., Conduct & Policies, Financial Crime, breach reporting / analysis, CASS etc.
  • Monitoring :

  • Organise the Compliance Monitoring Programme
  • Lead with preparation of monthly written report detailing the status of monitoring, issues identified and remedial action recommended.
  • Lead with rolling review of the compliance monitoring programme to ensure that all areas of the business are appropriately monitored;
  • and all changes to regulations are incorporated into the monitoring

  • Lead the implementation of both the ongoing monitoring activities as well as the agreed thematic reviews
  • Identify and risk rate deficiencies and work with first line management on remediation plans
  • Conduct review, investigation and analysis of breaches, including liaising with internal departments and 3rd party administrators.
  • Applicants

    Experience required :

  • Experience of compliance within an asset management or hedge fund environment
  • Strong knowledge of FCA rules.
  • Experience of performing audit or thematic reviews
  • Strong stakeholder management experience
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