Naukrijobs UK
Register
London Jobs
Manchester Jobs
Liverpool Jobs
Nottingham Jobs
Birmingham Jobs
Cambridge Jobs
Glasgow Jobs
Bristol Jobs
Wales Jobs
Oil & Gas Jobs
Banking Jobs
Construction Jobs
Top Management Jobs
IT - Software Jobs
Medical Healthcare Jobs
Purchase / Logistics Jobs
Sales
Ajax Jobs
Designing Jobs
ASP .NET Jobs
Java Jobs
MySQL Jobs
Sap hr Jobs
Software Testing Jobs
Html Jobs
IT Jobs
Logistics Jobs
Customer Service Jobs
Airport Jobs
Banking Jobs
Driver Jobs
Part Time Jobs
Civil Engineering Jobs
Accountant Jobs
Safety Officer Jobs
Nursing Jobs
Civil Engineering Jobs
Hospitality Jobs
Part Time Jobs
Security Jobs
Finance Jobs
Marketing Jobs
Shipping Jobs
Real Estate Jobs
Telecom Jobs

Complaince Monitoring Manager

Lloyd Recruitment Services Ltd
Job LocationLondon
EducationNot Mentioned
SalarySalary negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Manager, working for a forward-thinking and highly reputable client.The successful individual will provide compliance support to both Fund and Portfolio Managers, with a focus on monitoring, including both regular and ad-hoc duties. These include:

  • Support to COO and Head of Compliance & Legal
  • Provide cost effective cover for other areas within the compliance team i.e. breach reporting / analysis, CASS
  • Support in-house committees (e.g. Conduct & Policies, Financial Crime)
    • Responsibilities / Deliverables:
  • Organise Compliance Monitoring Programme, gaining Board agreement
  • Lead with preparation of monthly written reports, detailing the status of monitoring, issues identified and remedial action recommended
  • Lead with rolling review of the compliance monitoring programme, to ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring
  • Implementation of ongoing monitoring activities as well as the agreed thematic reviews
  • Identify and risk rate deficiencies and work with line management on remediation plans
  • Track activities through to completion
  • Regularly report to the boards on progress
  • Assist Due Diligence reviews or Third Party outsourced providers - ensuring detailed and meaningful reports are provided to Senior Management
  • Conduct review, investigation and analysis of breaches
  • Ensure that all incidents are recorded
  • Assist in the analysis of the impact and implementation of new regulatory rules and guidelines
    • Requirements:
  • Relevant qualification in Compliance
  • Experience of working in Compliance and Financial Crime in the Finance Industry
  • Experience in Asset Management or Investment Management an advantage
  • Experience of applying monitoring methodologies / audit methodology within financial organisations
  • Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions
  • Able to build and maintain relationships with key business stakeholders of all levels
  • Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines
  • Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately
    • NB: We would like to thank you for your application, however unfortunately due to the volume of applications received, Lloyd Recruitment Services are only able to contact shortlisted applications

    APPLY NOW

    Complaince Monitoring Manager Related Jobs

    © 2019 Naukrijobs All Rights Reserved