7 months ago
Compliance & Risk Monitoring Officer, Investment Management Sector - Central London
Highly competitive salary and overall package
Permanent full-time role
Our client is a boutique investment manager with a global presence. They now seek an experienced Compliance & Risk Monitoring Officer to support the business. This is a fantastic opportunity to join a growing business with huge personal development opportunities, excellent work/life balance and culture. The role has come about through business growth.
Dealing with client compliance & risk enquiries.
Responsibility for ensuring the risk framework reflects key Company risks, take input from business and run updated reports.
Plan and execute thematic monitoring reviews to assess compliance with regulations and internal policies, including reporting to senior management and tracking issues identified.
Conduct group wide continuous monitoring in line with the Quarterly Compliance Monitoring Programme.
Ensuring that errors are properly handled by investigation i.e. validating business proposals and looking for further enhancements.
Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
Maintain Best Execution monitoring, documenting rationales for outliers generated by Bloomberg Transaction Cost Analysis (BTCA).
Perform Market Abuse Regulation (MAR) surveillance and liaise with the Portfolio Management team to ensure that all trade rationales are documented.
Various duties related to ensuring that the guideline compliance controls remain effective
Ad-hoc projects and covering in the absence of other team members, as and when required.
BACKGROUND AND QUALIFICATIONS
Essential to have at least five years’ experience working within investment management.
Experience with thematic monitoring reviews highly desirable.
Compliance monitoring, with surveillance experience highly desirable.
Highly desirable experience or fair exposure in:
Internal audit function
Good university degree.
Candidate will either have obtained, or be willing to study towards relevant industry examinations, e.g. the Investment Management Certificate and/or International Advanced Certificate in Anti-Money Laundering &/or Investment Compliance Diploma.
The successful candidate will join a successful and well-respected firm, and will play a crucial role in the development and progress of the firm’s regulatory environment.
In the in the first instance, please apply sending a fully up-to date CV and a covering letter of no more than 350 words.
Please note that in view of large numbers responding to advertisements at present, we are unlikely to reach all of you. If you have not heard from Holly Jaques, or a colleague, within 30 days of making your initial application, then please not that you have not been selected for initial interview.
ARL Search acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. ARL Search is an equal opportunities employer and welcomes applications regardless of sex, marital status, ethnic origin, sexual orientation, religious belief or age.
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