Overview

An Investment Manager based in the City is looking for a Compliance Monitoring Associate to join their growing Compliance function.

Main Responsibilities

  • Work with the Head of Compliance Monitoring in undertaking robust compliance risk assessments and developing a risk based and proportionate annual Compliance Monitoring Plan
  • Planning, execution and reporting against the Compliance Monitoring Plan, retaining appropriate records and providing concise, and timely, written and verbal reports highlighting key issues and recommendations
  • Ensure monitoring reviews are effectively conducted from planning stage to completion in a timely manner.
  • Manage the delegated compliance monitoring work which is being performed by the Firm’s Compliance Officers and provides them with relevant support, training and guidance, as and when appropriate to help them develop.
  • Assist in any other ad-hoc projects as required.

Job Requirements:

  • At least 18 months Compliance Monitoring experience from within a similar Investment Management business
  • Strong attention to detail, ability to assess & investigate is key.
  • Excellent verbal & written communication skills.

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