Compliance Monitoring Lead

Recruiter
Confidential
Location
South East England
Salary
Competitive
Posted
09 Sep 2020
Closes
07 Oct 2020
Employer Sector
Accountancy Practice
Contract Type
Permanent
Hours
Full Time
Travel
None
Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Lead, 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

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