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    Compliance Monitoring Manager (12mth FTC)

      Attach a CV (Accepted file types: pdf, doc, docx, rtf.)

      Compliance Monitoring Manager (12mth FTC)




      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



      • 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

      Posted by

      Mark Foy

      Managing Director

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