COMPLIANCE MONITORING ASSOCIATES – MONITORING EXP OF ASSET/FUND MANAGEMENT REQUIRED
Ref: 4091D
£35K - £55K + Bonus & Bens Hybrid (3d pw WFH) London
Our client, an investment management group, is recruiting Compliance Monitoring Associates to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFs. Duties include;
- Carrying out ongoing monitoring as per the CMP
- Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
- Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
- Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
- Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
- Following the set policies and procedures around managing conduct risk and appropriate AR oversight.
You should have at least two years experience of compliance monitoring of asset/fund management or else wealth management, either from another regulated firm or a compliance consultancy. No need to have had experience of ARs before but as not directly part of the firm, more important than normal to have good communication skills and a diplomatic manner when dealing with their management.
Great opportunity to build on your experience so far within this growing sector of financial services (and I'm happy to explain concepts to successful applicants, as used to run an ARs monitoring team myself).
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.