We are working with one of the UK’s most established Investment Managers in their search for a Compliance Monitoring Manager. This will sit in their Unit Trust business which has grown by £10bn of Assets over the last 10 years.
You will be tasked with:
- Overseeing an effective monitoring programme of the asset management business against the rules of the FCA and CSSF (Luxembourg)
- Revising the monitoring programme to reflect changing regulation and business direction.
- Preparing and undertaking monitoring reviews in accordance with the Plan.
- Delivering 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 a more junior Compliance Analyst
- 4-6 years of relevant Compliance Monitoring experience ideally gained within a Funds or Asset Management business
- Ideally need to have knowledge of Unit Trusts and applicable rulebook requirements surrounding this type of business ie COLL / Client Money
- Ability to work under own initiative to deliver monitoring plan.
- Excellent analytical and investigative skills.
- Very good influencing skills with business partners
- Demonstrate management skills with reporting staff member.
- Self-sufficient individual with strong communication skills