Thematic Monitoring

London, England, United Kingdom

I am currently recruiting a Compliance Officer for a well-respected Investment Management firm based in London.  The role includes a wide range of activities which centre around the provision of timely compliance monitoring and review.


Key responsibilities;

  • Support the London Head of Monitoring with the undertaking of the annual plan
  • Instil a strong compliance culture for staff.
  • Assist in the development of the monitoring programme
  • Execution of both thematic and desk based reviews
  • Aiding the rest of the team in adhoc compliance oversight activities

Key skills;

  • Extensive compliance monitoring experience.
  • Experience working in relevant market/context, i.e preferably Asset Management Compliance
  • Understanding of UCITS and AIF’s
  • Minimum of 3-5 years in compliance.
  • Strong ability to build relationships with the business
  • Self-awareness with confidence to work independently and take responsibility for own development
  • Able to present to senior management.