Head of Monitoring & Regulatory Risk Assessment
Central London
£120,000 - £130,000 + Bonus + Benefits

The Role:

A leading independent global asset manager are looking for a Head of Monitoring & Regulatory Risk Assessment to join their EMEA Compliance team.

The EMEA Compliance team consists of around 40 employees, who oversee all of the firm's business activities in the UK, Europe, Middle East and South America. The department in London forms part of a global Compliance function, and works closely with teams in Denver and throughout Asia.

You will sit within the EMEA Compliance team, reporting directly into the Head of EMEA Compliance. Managing a team of 3, you will be responsible for undertaking a range of thematic reviews, regular testing and transaction/communication monitoring across the firm.


  • Ownership of the Regulatory Risk assessment methodology and on-going re-fresh.
  • Management of a risk-based monitoring and oversight plan, ensuring that all work is delivered on time and is of appropriate quality.
  • Leading targeted or thematic reviews of business areas, third party administrators and other outsourced providers.
  • Reporting of progress against the plan as well as findings to meaningful stakeholders and governance fora.
  • Working with senior stakeholders across Risk & Compliance, and other members of the business who undertake some aspect of monitoring to develop and document plan, and arrange resources to execute against it.
  • Managing appropriate co-sourcing arrangements with expert external suppliers.
  • Engaging with Internal Audit and Enterprise Risk to ensure there is a 'joined up' approach to delivering reviews of business activities.
  • Ensuring that your team receives appropriate training on emerging monitoring, oversight and surveillance techniques.

Skills & Experience Required:

  • Significant experience in a relevant role
  • Experience of creating and delivering risk-based monitoring and oversight plans on an international or global basis.
  • Extensive risk management and regulatory compliance knowledge within Asset Management. This includes a deep understanding of UK and other international regulatory requirements.
  • Experience of managing a team.
  • Good IT skills including PowerPoint, Excel.
  • Relevant professional qualifications (e.g. risk management, compliance).
  • Knowledge of current and emerging regulatory compliance 'hot topics' and emerging market trends, methods and tools in respect of monitoring and oversight.