Senior Compliance Monitoring - Investment | London, UK | Hybrid

MERJE Ltd; London; On-site; GBP 55,000 - 75,000; Full time

Job summary

A leading global investment firm is seeking a Senior Compliance Monitoring specialist to strengthen its compliance efforts. The role involves conducting comprehensive compliance reviews, ensuring adherence to regulatory requirements, and providing insights to senior management. The ideal candidate will possess strong analytical abilities and deep regulatory knowledge within the asset management sector.

Qualifications

• 5-6 years of experience in compliance monitoring within Asset or Wealth Management.
• In-depth knowledge of UK regulatory requirements.
• Experience with monitoring/audit methodologies.

Responsibilities

• Conduct compliance monitoring reviews and assessments.
• Maintain accurate records of compliance findings.
• Provide insights and recommendations to improve compliance.

Skills

Analytical skills

Regulatory knowledge

Compliance monitoring

Communication

Job description

Senior Compliance Monitoring - Investment

MERJE are currently representing a large global investment firm in the search for an experienced Compliance Monitoring specialist. With £50B in assets under management, firm employs around 400 individuals across a number of global offices.

The Role

The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). The successful candidate will conduct compliance testing, including thematic and desk-based reviews, at a global level, while providing the business with insights and recommendations to improve regulatory compliance.

You will be responsible for:

• Assisting with the execution of the compliance monitoring plan
• Conducting and completing second line compliance monitoring reviews across all offices, including thematic assessments and desk-based periodic checks, to assess regulatory risks and business adherence to policies globally
• Maintaining accurate and comprehensive record-keeping of gathered evidence to support findings and conclusions effectively
• Providing Senior Management with relevant Management Information regarding the status and progress of the Compliance Monitoring Plan
• Investigating potential compliance breaches and work with the relevant local compliance team to implement corrective actions.
• Acting as a subject matter expert in compliance monitoring, offering advice and support to the firm’s business functions as needed.

Requirements

The ideal candidate will have approximately 5-6 years’ experience of operating in a compliance monitoring role within the Asset Management or Wealth Management spac

Experience of applying monitoring methodologies / audit methodology

Demonstrate understanding of the 2nd line of defence and of Compliance review work in general

• Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions

Ability to work independently, managing a diverse range of matters while collaborating with the wider business across jurisdictions and escalating issues when and if necessary.

Excellent analytical skills with the ability to interpret regulatory requirements and assess their impact on business processes.

MERJE is a widely trusted specialist talent solutions provider.Since 2011, we’ve been pairing the best candidates with the most suitable career opp...

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