Head of Compliance Monitoring

Job Description : HEAD OF COMPLIANCE MONITORING UK Looking for diversity candidates looking to move to UK and who are eligible for UK visa A top tier European asset manager is looking for a monitoring lead to develop and lead their monitoring team. You will need to have excellent asset management knowledge and management skills, gained within a compliance monitoring role. They are based in the City of London and operate on a hybrid model. Lead, manage and oversee daily monitoring in line with the Compliance Monitoring Plan, providing effective guidance and mentoring to junior staff. Assist with the development and lead the implementation of a comprehensive compliance monitoring plan aligned with the regulatory landscape, as well as the Firm’s business objectives, and risk appetite. Manage the Thematic Monitoring Plan including completing regular deep dive thematic monitoring reviews into business activities, risks and controls and systematically report weaknesses identified alongside potential solutions in a timely manner. Provide fund managers and other staff with high quality, timely, pragmatic advice, and guidance on day-to-day compliance issues. Provide Compliance management with clear, relevant, timely and accurate management information used to update the Executive and Group Risk Committees relating to compliance monitoring activities, including trends, issues and key performance indicators. Assist in providing and coordinating updates to the Compliance Function report. Support the ongoing maintenance and development of the compliance RCSA to ensure all relevant compliance risks impacting the business have been identified, risk assessed, and appropriate mitigating controls have been put in place. Assist in the response to any reasonable requests for information made by the FCA, FINMA or any other regulatory authority. Coordinate the monitoring teams’ response to any new or periodic compliance training requirements. Demonstrate leadership of various compliance ad hoc monitoring projects and initiatives, as required. Minimum of 20 years out of which five years’ proven experience in leading, managing and developing a monitoring team effectively ideally within an asset management business. Excellent knowledge of FCA rules and regulations coupled with sound knowledge of the financial services, especially within the asset management sector. Up to date relevant knowledge of best compliance and regulatory peer practice. Capable user of MS Office, including the ability to work with macros on Excel would be an advantage. Strong analytical and problem-solving abilities, with a keen attention to detail. Strategic thinker with the ability to develop and execute compliance monitoring plans efficiently and effectively. Strong project management skills, including the ability to prioritize tasks, manage timeliness, and allocate resources efficiently. Strong written and verbal communication skills will support your proficient report writing ability and allow you to communicate effectively with all levels of the organization. Collaborative in your approach, you will relish being part of a small, open, and communicative team whilst taking ownership of and managing your own work, and that of your team, to a high standard.

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