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Job Specification

Central Compliance & Monitoring Manager – Good Monitoring Experience Needed

£50K - £60K + Generous Bonus & Benefits | West End
Ref: 3630J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a global investment management firm, is seeking a Central Compliance & Monitoring Manager.  Reporting to the Senior Compliance Manager, duties include:

• Running and Overseeing the central  compliance process including:
o Maintaining and overseeing the personal account trading process
o Maintaining and overseeing the gifts and hospitality process
o Maintaining and overseeing the outside interests process
• Assisting in Compliance monitoring and production of  compliance monitoring reports
• Regulatory reporting including close links, short selling, etc
• Responsibility for compliance set up of new joiners to the business
• Review and revision of policies and procedures
• Various ad hoc projects

The ideal candidate should have previous experience of Compliance monitoring either from an investment management form or else a sell side firm if good Fixed Income knowledge and an interest in the buy side. Great opportunity to join small but friendly professional team.  

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com                                                          

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

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