Senior Compliance Monitoring Manager - Unit Trusts Senior Compliance Monitoring Manager - Unit Trusts …

Non-disclosed
in London, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
Competitive
Non-disclosed
in London, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
Competitive
To manage, develop and deliver high quality regulatory monitoring of the Unit Trust business.

Key Responsibilities:

 

  • To undertake and oversee an effective monitoring programme of the asset management business specialising in unit trusts across its disciplines and business initiatives against the rules of the FCA, CSSF (Luxembourg) and other areas such as GPDR and HMRC.
  • To revise and adopt the monitoring programme to reflect changing regulation and business direction.
  • To personally prepare and undertake monitoring reviews in accordance with the Plan.
  • To deliver findings to various areas of the business and ensure that any remediation is completed.
  • To report on findings to the Head of Compliance and to the firm’s Executive Committee.
  • To manage the Compliance Analyst who is a direct report.  

Role Requirements:

  • Working knowledge of FCA relevant sourcebooks and CSSF regulations.
  • Ability to work under own initiative to deliver monitoring plan.
  • Excellent analytical and investigative skills.
  • Very good influencing skills with business partners within the unit trust business.
  • Demonstrate management skills with reporting staff member

 

 

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