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Compliance Monitoring Manager (Investments)

Information About This Job

Job Title: Compliance Monitoring Manager (Investments)
Contract Type: Permanent
Location: London
Salary: Competitive
Contact Name: Ben Kinley
Contact Email:
Job Published: over 1 year ago

Job Description

Compliance Monitoring Manager sought by a UK based asset management firm to develop and deliver the risk-based monitoring programme designed to evaluate the regulatory risk and control environment applicable to the firm’s investment activities. 


Key Responsibilities

  • Contributing to the development of compliance strategy.

  • Developing and delivering the compliance monitoring programme across the firm's investment and dealing activities to include reviewing conduct in relation to:

    • best execution

    • timely execution

    • order allocation

    • deal amendments and cancellations

    • cross trades

    • insider dealing

    • market abuse

    • conflicts of interest (G&H)

  • Supervising the activities of the Compliance Analyst in delivering the monitoring programme.

  • Preparing clear and organised monitoring work papers to document and support work performed and conclusions reached.

  • Preparing detailed and clear reports of findings arising from monitoring reviews.

  • Liaising with the CIO, the Head of Centralised Dealing and the

  • Investment Oversight Manager to seek remedial actions for any identified deficiencies, with a primary focus on assisting the business and providing solutions, not just reporting problems.

  • Monitoring the status of implementation of corrective action(s) and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance.

  • Providing appropriate reports/information to the Head of Compliance and other senior management and assisting the Head of Compliance in preparation of governance committee papers.

  • Coding client investment restrictions to the Charles River system, and communicating with fund managers and Investment

  • Operations on the coded investment restrictions.

  • Maintaining the records for and overseeing the firm's personal account dealing approval procedures and approvals, and front office receipts.

  • Recording investment and dealing breaches, errors and risk events, working with front office staff involved to ensure appropriate remedial and preventative measures are taken and escalating to the Head of Compliance and senior management as required.

  • Attending relevant meetings (committees, working groups) with or deputising for the Head of Compliance.

  • Developing and implementing front office controls monitoring through the increased use of technology solutions.

  • Keeping abreast of regulatory and business developments and . amending the monitoring programme as appropriate.

  • Interacting with all levels of front office management and staff.

  • Meeting regularly with key front office staff to stay abreast of changes in the business and issues arising.

  • Undertaking ad-hoc projects and reviews at the request of the Head of Compliance.


Skills & Experience

  • Likely to be a graduate (possibly with an accountancy/legal qualification), preferably with a further professional qualification (e.g, IMC).

  • Likely to have 7-10 years' relevant compliance experience, with excellent knowledge of the regulations pertaining to investment firms and funds e.g. COBS, COLL, MAR, MiFID II.

  • Thorough and up-to-date understanding and practical experience of a front office environment, with emphasis on a good working knowledge of equity, fixed income, FX and derivative trading systems and processes, including programme trading, direct market access and algorithmic trading.

  • Experience in an evidence-based approach (or audit-style approach) to monitoring all key front office activities.

  • Experience in designing and developing monitoring programmes for new or expanding business areas, systems or processes.

  • Experience of conflicts related reviews.

  • Attention to detail and evidence gathering from various systems will be required (e.g. Bloomberg, BTCA, Charles River, voice

  • recording etc.).

  • Excellent IT skills, including Microsoft Office software.

  • Good time management with the ability to work under pressure and to tight deadlines.

  • Strong people skills, able to communicate and influence at all levels within the business and take issues forward with senior management.

  • Self-starter comfortable working on their own initiative without requiring close day to day supervision, i.e. able to conduct and complete reviews, and to escalate issues as required.



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