A globally known- investment management firm is looking for a Compliance Monitoring Manager for a 12 month FTC role, based in the firm’s London office.
Key Responsibilities
- Oversee the execution and timely delivery of thematic reviews and regular testing in the plan and execute and deliver complex thematic reviews
- Draft procedures for any new regular testing activities, if needed
- Track and validate agreed upon management actions
- Regularly communicate progress against the plan and timely escalation of material findings to the Senior Manager of Compliance Monitoring
- Contribute to the compliance risk assessment and development of the annual risk-based monitoring and testing plan
- Produce ongoing reporting and management information against the plan and findings for stakeholders and relevant governance fora, on request
- Engage with stakeholders and partners, including Risk & Compliance, Internal Audit, Legal, and Front Office Controls and Governance, to ensure there is a collaborative approach to delivering reviews of business activities
- Carry out other duties as assigned
Skills, Knowledge & Experience
- Risk, audit or compliance professional with significant relevant experience gained in the financial services sector
- Strong interpersonal and stakeholder management skills
- Strong verbal and written communication skills
- In-depth understanding and application of regulatory agencies rules and regulations
- Advanced knowledge of the investment management industry, fund management businesses and associated operating policies
- Strong analytical skills and attention to detail
Desirable
- Knowledge of global regulations
- Experience of managing a team
- Relevant professional qualifications (e.g. risk management, compliance, investment management)
Company Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to ClassPass
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- All-inclusive approach to Diversity, Equity and Inclusion
- Maternal/paternal leave benefits and family services
- Complimentary subscription to Headspace – the mindfulness app
- All employee events including networking opportunities and social activities
- Lunch allowance for use within the subsidized onsite canteen
Potential for growth
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
