Compliance Monitoring - Assistant Manager

3 days left

England, London
£60000.00 - £65000.00 per annum
19 Sep 2019
17 Oct 2019
Richard Roland-Price1
Contract Type
Full Time
Reporting to the Compliance Monitoring - Associate Director (CMAD) your role will be to work with the CMAD, compliance monitoring and wider compliance team to provide an effective compliance monitoring function.
The role will focus on:
* Development and execution of a risk-based program of thematic, desk based and surveillance monitoring covering the key regulatory activities of the Group;
* May be required to assist/perform analysis of daily automated trade surveillance alerts and identify/escalate any potential concerns or risks relating to, but not limited to, regulatory rules including MAR, MiFID II and internal policies;
* Assist with or lead other projects or initiatives as required.

* Support the CMAD with the development of a risk based regulatory monitoring programme.
* Build relationships with relevant business partners.
* Develop test plans and documentation in support of monitoring activities.
* Execute thematic, desk based and surveillance monitoring at agreed frequencies.
* Complete testing write ups including identification of issues and recommendations.
* Work with the business to track resolution of recommendations.
* Development of Management Information (MI) and Reporting for monitoring activities.
* Assist with automated trade surveillance activities if required.
* Assist with or lead other projects or initiatives as required.

Responsibilities will span the range of business activities undertaken by the business, the legal structures underlying them and the regulatory risks involved, main areas being:
* Investment Management - a variety of active portfolios
o Public markets capabilities include high active share equities, specialist credit and multi asset.
o Private markets including real estate, infrastructure, private equity and private debt.
o EOS (Equity Ownership Service), one of the world's largest stewardship resources.
* Investment Administration - back and middle office activities including; transaction records, settlement arrangements, corporate events, financial records, banking and custody arrangements and reconciliations
* Client Base - segregated mandates, regulated and unregulated collective investment schemes.

Legal / Regulatory Scope:
* The FCA rulebook and relevant EU Directives (MiFID, AIFMD, EMIR, MiFIR …)
* UCITS Directive (Irish)
* Other regulations may additionally apply, e.g. SEC, ERISA, US 40Act, CFTC, MAS.

Board / Governance Committees / Projects:
* Deputise for CMAD as required.
* Attend project committees as required.

Decision Making Authority:
* Provide advice to the CMAD on monitoring requirements and procedures after reference to appropriate rule books or legislation.
* Implementation of compliance advice or recommendations after consultation with and the agreement of line management.

* Compliance monitoring experience, preferably from the asset management industry.
* Good knowledge and practical understanding of the FCA handbook and regulations as applicable to an investment management company.
* Understanding of UCITS, AIFMD
* Experience of a wide range of investment products (Equities, Fixed Income and Derivatives).
* Degree qualification and or equivalent industry related qualification (IMC, CFA etc.)

Badenoch + Clark acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Badenoch + Clark UK is an Equal Opportunities Employer.

By applying for this role your details will be submitted to Badenoch + Clark. Our Candidate Privacy Information Statement explains how we will use your information - please copy and paste the following link in to your browser:

Apply for Compliance Monitoring - Assistant Manager

Already uploaded your CV? Sign in to apply instantly


Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB

4000 characters left

You are about to register with the Adecco Group UK & I as a candidate. During your registration, we will collect and use information about you to make available our services and maintain our relationship with you. Our Privacy Information Statement explains how we collect and use information about you and the rights you have.

Where you choose to give us so called sensitive information* other than where we ask for it, by giving us that information, you agree that we may use it in the way set out in the Privacy Information Statement.

* This is information that gets special protection under our privacy laws. It is information about your race or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, health, genetic or biometric details, sex life and details of any criminal convictions or similar you may be subject to.

♦ The business of the Adecco Group UK & Ireland is transacted via a number of differently branded trading entities, as follows: Adecco UK Limited, Adia Technology Limited, Modis International Limited, Badenoch and Clark Limited, Ajilon (UK) Limited, Office Angels Limited, Penna plc, Pontoon Europe Limited, Roevin Management Services Limited, Spring Technology Staffing Services Limited.