Compliance & Risk Monitoring Manager - Investment Management Sector

  • Competitive Depending on Experience
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Additional Resources
  • 21 nov. 17 2017-11-21

A successful Asset Manager company, based in prestigious offices close to Piccadilly are currently recruiting an experienced Compliance & Risk Monitoring Manager. The successful candidate will undertake compliance monitoring reviews & risk assessments, including aspects of financial crime.

Compliance & Risk Monitoring Officer - Investment Management Sector

Central London

Salary: DOE 

Key Words - Compliance & Risk Monitoring Manager, Risk, Compliance, Compliance Officer, , Compliance Manager, Asset Management, Regulatory Consultancy, Private Equity, Operation Risk Manager

A successful Asset Manager company, based in prestigious offices close to Piccadilly are currently recruiting an experienced Compliance & Risk Monitoring Manager. The successful candidate will undertake compliance monitoring reviews & risk assessments, including aspects of financial crime.

CORE DUTIES

 

Compliance Monitoring

Plan & execute thematic monitoring reviews to assess compliance with regulations and internal policies, including reporting to senior management & tracking issues identified.

Conduct firm-wide continuous monitoring in line with the Quarterly Compliance Monitoring Programme.

Maintain Best Execution monitoring, documenting rationales for outliers generated by Bloomberg Transaction Cost Analysis (BTCA).

Perform Market Abuse Regulation (MAR) surveillance and liaise with the Portfolio Management team to ensure that all trade rationales are documented.

 

Risk Assessments

Developing and managing aspects of the Risk Management framework.

Performing risk assessments of Group-wide business operations, mainly US & UK activities.

Support the business in establishing Risk & Control Self-Assessment (RCSA) process, analysing risk appetite and presenting to governance committees.

 

Financial Crime

Reviewing Know Your Client (KYC), Anti-Bribery & Corruption (ABC), Anti-Money Laundering (AML) records for completeness, including verifying that client due diligence (CDD) has been performed in accordance with the firm's internal policies.

Assisting the client servicing teams with transaction monitoring and reporting of suspicious and / or unusual transactions in line with applicable reporting policies and procedures.

Performing obligatory periodic reviews of KYC / CDD files and remediation exercises as required.

 

REQUIRED SKILLS/EXPERIENCE

 

3-5 years’ experience working within an asset management business in either a: 

compliance monitoring or, 

risk management or,

financial crime or, 

internal audit function;

Compliance monitoring &/or surveillance experience;

Practical experience developing and rolling out risk assessment frameworks;

Financial crime experience;

Appreciation of three lines of defense &/or corporate governance responsibilities;

Able to work in a close-knit team, with excellent interpersonal skills;

Strong attention to detail and problem-solving skills.

Strong interpersonal skills, with the ability to influence at a senior level.

 

QUALIFICATIONS

 

Good university degree.

 

OTHER REQUIRMENTS

 

Candidate will either have obtained, or be willing to study towards relevant industry examinations, e.g. the Investment Management Certificate &/or International Advanced Certificate in Anti-Money Laundering &/or Investment Compliance Diploma.

 

Additional Resources are an Employment Business and an Employment Agency as defined within The Conduct of Employment Agencies & Employment Businesses Regulations 2003.