The main responsibilities of thr position are as follows:

  • Conduct detailed monitoring reviews as per the internal risk -based programme taking into consideration emerging risks and the applicable FCA rules and regulations.
  • Liaise with the business and appropriate stakeholders in the identification and remediation of any monitoring issues arising in a timely fashion.
  • Ensure that any issues requiring corrective action are duly dealt with and reported to the appropriate management in a timely fashion.
  • Collate and provide analysis of the relevant MI in respect of risk based monitoring and its potential impact on the business.
  • Undertake CDD and AML checks on new clients before on-boarding.
  • Monitor AML regulatory initiatives ensuring that all such legislation is correctly incorporated within the client's group-wide AML policies.
  • Assist in general Compliance tasks as well as ad hoc projects.
  • Maintain processes and procedures as required.

The ideal candidate will have experience of the following:

  • Experience of Compliance Monitoring and AML
  • Experience of the asset management industry
  • Familiarity with the applicable FCA rules in respect of asset management as well as excellent knowledge of Financial promotions and funds distribution.
  • An understanding of the structure and requirements relating to European domiciled UCITS Funds/alternative and practical experience of at least one of UK, Luxembourg or Dublin funds.

In exchange for the above my client is offering a competitive remuneration package and the opportunity to join a high-calibre, intellectually challenging environment.