The main responsibilities of the Compliance Risk and Monitoring Manager are as follows:

  • Development of the annual Compliance Monitoring Plan (CMP) and supporting two Compliance Monitoring Analysts. Part of this process will be to review all reports and to assist with the appropriate follow up and close out of any identified findings.
  • Ensuring that the Regulatory Risk Assessment (RRA) is kept up to date and includes input from the client's monthly Regulatory Analysis Forum.
  • Ensure that Compliance Monitoring Programme (CMP) is fully coordinated with the Regulatory Risk Assessment (RRA) and that identified risks are duly embedded in all other Compliance practises - e.g. policies and procedures, training, governance.
  • To engage with Senior Management on an ongoing basis across the business

The successful candidate will be able to demonstrate the following skills and attributes:

  • Extensive experience of the UK regulatory regime specific to asset management
  • Advanced stakeholder management skills
  • Strong writing, communication and analysis skills
  • Able to manage and prioritise own workload
  • Ability to develop junior members of the team

In exchange for the above my client offers a competitive remuneration package and the opportunity to join an industry leading asset management company at an exciting time of its development.