Job Title: COMPLIANCE MONITORING MANAGER-Asset Manager


Reference:AJB JB AM 178


Date: 31 Jul, 2019

Location: City of London


Assignment Profile:

Our client is a highly regarded International Asset Manager with over £100Billion AUM. They are seeking a Senior Compliance Monitoring Manager You will sit within the EMEA Compliance team, reporting directly to the Head of Regulatory Risk Assessment and Review. You will be part of a team of 4 responsible for undertaking a range of thematic reviews, regular testing and transaction/communication monitoring across the company, with an initial focus on EMEA. Duties and Responsibilities • Supporting the implementation of the Regulatory Risk assessment methodology / process and ongoing refresh • Providing input to the risk-based monitoring and oversight plan, and supporting the Head of Regulatory Risk Assessment and Review to ensure that all planned work is delivered on time and is of appropriate quality; • Delivering targeted or thematic reviews of business areas, third party administrators and other outsourced providers (e.g. investment managers), and leading on these reviews with oversight of a team of associates where appropriate; • Regularly communicating progress against the plan and findings to the Head of Regulatory Risk Assessment and Review; • Producing ongoing reporting and management information on progress against the plan and findings for meaningful stakeholders and relevant governance fora; • Working with senior stakeholders across Risk and Compliance, and other members of the business who undertake some aspect of monitoring (global, where necessary) to support development of plan and prioritization of resources • Engaging with Internal Audit and Enterprise Risk to ensure the there is a ‘joined up’ approach to delivering reviews of business activities, and where appropriate, provide combined assurance;

Candidate Profile:

Technical Skills and Qualifications • Compliance professional with a minimum of 5 years relevant experience gained in the financial services sector • Sufficient breadth of technical and compliance knowledge in a combination of the following key regulatory risk areas within an asset management firm - front office dealing and managing, regulatory reporting, market conduct, investor protection (product), conflicts of interest and inducements, financial crime (AML / ABC), client money, and third-party outsourcing arrangements. • Experience of maintaining and delivering risk-based monitoring and oversight plans (potentially on a global basis) • Experience of producing terms of reference and executing a combination of thematic reviews, inspection testing and deep dives. • Strong Risk management and regulatory compliance knowledge within the asset management industry, including a deep understanding of UK and other international regulatory requirements. • Experience of managing a team (preferable however not mandatory for role) • Knowledge of current and emerging regulatory compliance ‘hot topics’ and emerging market trends, methods and tools in respect of monitoring & oversight • Good IT skills, including PowerPoint, Excel • Degree qualified preferable • Relevant professional qualifications (e.g. risk management, compliance, investment management, legal, accountancy). Competencies Required • Self-starter and proactive • Excellent interpersonal skills, with the ability to communicate effectively at all levels • Strong track record in report writing and delivery of clear and concise written and oral communications • Ability to build and maintain relationships internally and externally • Good planning, organizational and prioritization skills • Ability to meet tight deadlines and work in a pressurized environment • Ability to lead and motivate junior team members when required on delivery of reviews Ongoing competence in the role to be assessed by: • Annual Performance Appraisal • Completion of all assigned Compliance training • Annual Attestation (Knowledge and Competence in-scope roles only)

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £50-55,000 Plus Benefits and Bonus


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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