Compliance Monitoring - Asset Management

Recruiter
Paritas Recruitment - Compliance
Location
London, United Kingdom
Salary
to £65k base + bonus / benefits
Posted
07 Apr 2021
Closes
07 May 2021
Ref
10492041
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The role will work with both the Compliance Monitoring and wider Compliance team to provide an effective Compliance Monitoring function for the global business. The primary responsibility will be to support the development of a risk based regulatory monitoring programme, and execute thematic, desk based and surveillance monitoring. The role will also assist with automated trade surveillance activities and other regulatory projects and initiatives.

Applicants should have Compliance Monitoring experience, preferably from the asset management industry, with a strong understanding of UCITS / AIFMD and the FCA Handbook. The ideal candidate would have experience of a broad range of investment products (Equities, Fixed Income and Derivatives) and possess an industry related qualification (e.g. IMC / CFA).

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