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Interim Compliance Monitoring Officer – Asset Management (Fixed-term contract)

  • Location: Oxfordshire
  • Salary: c. £55-60,000
  • Job type: Contract/Temp
  • Job reference: PW/166768
  • Sector: Asset Management/Funds , Interim
Job Description

Our client is an institutional asset management firm, looking to recruit an experienced compliance officer on a fixed-term contract basis.


To be considered, you will have experience in buy-side regulatory compliance monitoring and be comfortable carrying out thematic monitoring reviews, ensuring that appropriate assurance is provided to senior management as to the compliance of the firm with its policies, procedures and regulatory requirements.


Key responsibilities:

  • Lead and/or assist on continuous and thematic monitoring reviews.

  • Provide advice to change teams and project work streams on behalf of compliance monitoring.

  • Liaise with the Compliance Advisory teams on emerging themes and review findings.

  • Build and maintain relationships with key business partners throughout the compliance monitoring process.

  • Delivery of high quality compliance monitoring activities, to ensure compliance with regulation and the promotion of fair customer outcomes. 

  • Ensure output feeds into the EMEA region’s risk assessment framework in order to identify ongoing monitoring priorities.

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