Job Description
I'm working with an excellent Investment Manager based in the City who need a competent Compliance Monitoring candidate to join their regulatory Compliance Monitoring team.
The responsibilities will include:
Compliance Monitoring and Surveillance reviews
Testing write-ups, identifying issues and giving recommendations
MI and reporting
Assisting with Trade Surveillance activities
Advising the business based on the outcome of the Compliance reviews
Ad-hoc Compliance projects
The successful candidate will have a good knowledge of the FCA Handbook, in particular MiFID, AIFMD, EMIR, MiFIR as well as UCITS. You will also deputise your line manager at various Governance and Project committees.
The salary on offer is up to £65,000. For further information please contact Nathan Coomber on nc@barclaysimpson.com or submit your CV for consideration.