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Compliance Monitoring Assistant Manager

  • Location: London
  • Salary: Up to £65,000
  • Job type: Permanent
  • Job reference: NC/170974
  • Sector: Asset Management/Funds
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.

 

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