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Compliance Monitor - Asset Management

  • Location: London
  • Sector: Compliance
  • Salary: £45000 - £65000 per annum
  • Job type: Permanent
  • Date posted: 19/10/2018
  • Job reference: 29967
This vacancy has now expired.

Overview

To help ensure that activities comply with the principles, rules and guidance of the FCA and other relevant regulatory bodies. The client base is Retail and Professional.

Main Duties

Assisting with overseeing and managing all compliance issues, with primary focus on compliance monitoring.

Compliance Monitoring

Responsible for the production of the group compliance monitoring programme and the provision of technical advice and training as necessary to ensure that the business is compliant with its content.

  • Review, develop and maintain compliance monitoring programme;
  • Create and maintain monitoring methodology and testing plans;
  • Create a risk-based process for carrying out the compliance monitoring;
  • Carry out proactive monitoring reviews and testing across the business in accordance with the agreed monitoring plan, coordinating with Risk and Internal Audit as appropriate;
  • Maintain working papers to evidence the review, reporting and follow up process. Through this process ensure that appropriate controls are in place to mitigate the risk of non-compliance;
  • Work with other members of the Assurance department to implement changes and enhancements identified through monitoring;
  • Ensure that issues and risks identified through monitoring are managed / resolved, working with the business;
  • Provide regular reports on compliance monitoring matters;
  • Prepare compliance monitoring summary reports for reporting to internal committees and for inclusion in Board reports.

  • General
    • Carry out analysis on breaches and complaints when required;
    • Assist with the production of the group compliance manual and provide training as necessary to ensure that the business is compliant with its content;
    • Ensure that appropriate controls are in place to mitigate the risk of non-compliance;

  • Regulatory Change

Monitor regulatory developments and assess their impact on business.

  • Keep abreast of regulatory changes as they develop;
  • Determine the impact on business activities;
  • Make written recommendations for improvement to the company's policies and procedures as appropriate to ensure continued compliance;
  • Make changes to the compliance monitoring programme as necessary to reflect regulatory developments;
  • Provide overview of regulatory changes and other areas of the business, as necessary.

Skills/Experience Required

  • Proven track record of identifying, assessing and monitoring compliance issues in an asset management firm;
  • Experience of working in a financial regulatory environment;
  • Good knowledge and experience in developing and maintaining a compliance monitoring programme;
  • Relevant professional qualification.

Who we work with

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