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A well respected multi-asset management business are looking to appoint a permanent Senior Compliance Monitoring Officer.
Undertake second line assurance, specifically thematic compliance monitoring reviews
Determine the adequacy of systems and controls across the business
Support the Head of Compliance Monitoring in ensuring that business stakeholders and employees understand and adhere to applicable regulations and standards
Help setup a new Compliance Monitoring function
Prepare and execute the Annual Compliance Monitoring Plan to focus on all relevant regulated activities both internally and for external outsource providers with a particular focus on FCA/CBI/ UCITS/AIF, anti-money laundering(AML)/financial crime regulations and industry best practice
Prepare and execute the Annual Compliance Monitoring Plan in relation to all relevant Policies and Procedures
Attend internal and external reviews in line with the monitoring plan
Prepare and disseminate reports and MI for key stakeholders, including presentations to relevant committees and boards
Carry out the 'due diligence' process regarding delegated external Investment managers, both for initial take-on and for annual reviews
Develop strong relationships throughout the business and work closely with the central Risk and Internal Audit teams
Identify issues promptly and escalate to resolve and support root cause analysis to prevent any reoccurrence
Assist with the production of other risk management information for relevant committees and boards as required
Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice
Strong knowledge of FCA/CBI/UCITS/AIF/CASS regulations
Experience of asset management Compliance Monitoring team
Good knowledge of investment products and instruments including derivatives
Good knowledge of investment lifecycles
Excellent analytical/MI skills
Excellent report writing skills
This is an excellent opportunity for someone to join a highly collaborative environment and realise career growth within a growing team.
Cornwallis Elt is an Employment Agency and has been listed 3 times in The Sunday Times Virgin Fast Track 100 of the UK`s fastest growing private companies, as well as in the Recruitment International Top 250, Top 50 in IT and the Recruiter Fast 50. You can also follow our live roles on the website at http://www.cornwalliselt.com/live_roles and on Twitter: https://twitter.com/cornwalliselt