Compliance Monitoring Specialist - 12mth FTC Compliance Monitoring Specialist - 12mth FTC …

The Ocean Partnership
in London, United Kingdom
Contract, Full time
Be the first to apply
Competitive
The Ocean Partnership
in London, United Kingdom
Contract, Full time
Be the first to apply
Competitive
Posted by:
Clare Scott • Recruiter
Posted by:
Clare Scott
Recruiter
The Ocean Partnership has been engaged to recruit an exciting opportunity to join a leading Asset Management firm in the London. This is a fantastic opportunity to perform Compliance monitoring reviews covering a variety of regulatory topics and across all business areas including investment teams, operational functions, sales and marketing, product development, outsourced providers.

The Ocean Partnership has been engaged to recruit an exciting opportunity to join a leading Asset Management firm in the London. This is a fantastic opportunity to perform Compliance monitoring reviews covering a variety of regulatory topics and across all business areas including investment teams, operational functions, sales and marketing, product development, outsourced providers.

Key Remits:

  • Leading EMEA and APAC Compliance monitoring reviews
  • Becoming an SME within due diligence visits and outsourcing reviews of material third party service providers
  • Continuously supporting additional tasks performed by the Monitoring team i.e. personal account dealing oversight, conflicts management and Compliance reporting
  • Conducting compliance monitoring and assurance for various fund ranges
  •  Completing ad-hoc regulatory training across the business

Required Experience:   

  • Established candidate with UK/EU compliance monitoring background ideally within asset management
  • Proven knowledge of COBs and COLL regulations
  • Broad exposure to the Luxembourg CSSF/FCA regulatory framework

Ocean is an equal opportunities professional recruitment partner and welcomes applicants from diverse candidates. Greater diversity means greater business. We look forward to hearing from you.

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