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Compliance Monitoring Manager - Funds / Investment Management
- Posted 16 January 2021
- Salary Negotiable
- LocationLondon
- Job type Permanent
- ReferenceLUTComplianceMonitor_1610819737
- Contact NameLatiesha Uter
Job description
Key responsibilities:
- Drafting the compliance monitoring plan in line with the firm's risk appetite.
- Carrying out thematic reviews
- Acting as an escalation point for the wider monitoring team and providing technical support
- Producing reports for the Compliance Function, and Risk and Compliance Committee in relation to monitoring and findings. Where issues or breaches are identified, suggest remediation actions
- SME of the monitoring team, working closely with the compliance advisory and projects teams to review any appropriate changes for monitoring relating to new policies or procedures
- Keep abreast of new/changes in regulation
Key Competencies:
- Compliance monitoring expertise, preferably buy-side
- Management or team lead experience preferable
- Ability to work with senior stakeholders