Compliance Manager (Monitoring and Surveillance) - (London)

Insight Investment; London; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading asset management company is seeking a Compliance Manager in London. This role focuses on monitoring and surveillance, ensuring regulatory compliance and enhancing the control environment. Ideal candidates will have relevant asset management experience and strong analytical skills, promoting a positive compliance culture within the firm.

Qualifications

• Experience in Compliance Monitoring/Surveillance within an Asset Management firm.
• Ability to adapt quickly to compliance and trading systems.
• Understanding of relevant regulatory environments.

Responsibilities

• Conduct monitoring reviews focused on regulatory risks.
• Perform surveillance testing on trading desks.
• Propose improvements for monitoring and surveillance programs.

Skills

Analytical Skills

Verbal Communication

Written Communication

Problem Solving

Attention to Detail

Tools

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

Insight Investment is looking for a Compliance Manager (Monitoring and Surveillance) to join their London Compliance team.

The role will involve supporting the Compliance function, delivering and reporting on its monitoring and surveillance plans in a timely manner and with an appropriate risk-based focus. Identify findings that will strengthen the businesses control environment and provide suitable assurance to senior management on the strength of the regulatory control framework.

Role Responsibilities

• Undertaking monitoring reviews, ensuring they are completed in a timely manner and are focused on the key risks within a regulatory topic and the tests are suitably designed to identify the key issues.
• Performing surveillance testing over assigned areas and trading desks including best execution, fair allocation, cross trading, conflicts of interest, record keeping, short selling and conduct related matters.
• Ensuring that any actions arising from any monitoring review or surveillance test are well defined and proportionate to the risk they are seeking to mitigate and are communicated/presented in a thoughtful risk-adjusted manner which is appropriate for the audience. Retain oversight and work alongside the business to ensure that they are completed as designed and on a timely basis.
• Constantly consider and, where possible, provide innovative ideas on how to improve the monitoring and surveillance programmes.
• Participation in general team wide initiatives as required.

Experience Required

• Relevant experience of Compliance Monitoring/Surveillance within an Asset Management firm.
• Familiarity with how a buy-side, agency Asset Management company operates.
• The candidate should be able to adapt quickly to core compliance and trading systems and proactively identify and propose solutions to issues arising.
• Good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.
• Advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets.
• Able to develop a sound understanding of Insight’s compliance programme, governance structure, business divisions, business strategy and key product capabilities.
• Understanding of the regulatory environments in which Insight operates.
• Strong verbal and written communication skills.
• Able to provide challenge to both existing processes and controls across the business and be proactive, self-supportive and motivated in the promotion of a positive compliance and risk culture within the firm.
• Detail oriented, collaborative, able to prioritise.
• Able to work independently and exercise own professional judgement for final ratification
• Participation in general team wide initiatives as required.

Insight is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of background, circumstances, age, disability, gender identity, ethnicity, religion or belief and sexual orientation. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at [e-mail]

About Insight Investment

Insight Investment is a leading asset manager focused on designing investment solutions to meet its clients' needs. Founded in 2002, Insight's collaborative approach has delivered both investment performance and growth in assets under management. Insight manages assets across its core liability-driven investment, risk management, full-spectrum fixed income, currency and absolute return capabilities.

Insight has a global network of operations in the UK, Ireland, Germany, US, Japan and Australia. More information about Insight Investment can be found at: www.insightinvestment.com