Back to Job Search

Compliance Monitoring Manager - Funds / Investment Management

  • Location London
  • Job-type Permanent
  • Reference LUTComplianceMonitor

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