Head of Compliance Monitoring
- Recruiter
- Badenoch + Clark
- Location
- England, London, City of London
- Salary
- Negotiable
- Posted
- 30 Mar 2021
- Closes
- 27 Apr 2021
- Ref
- CL123456
- Contact
- Candice Larcombe
- Sector
- Accountancy & Finance, Compliance, Banking & Financial Services, Asset Management, Compliance & Regulatory
- Function
- Risk
- Contract Type
- Permanent
- Hours
- Full Time
A global investment manager is looking for a new Head of Compliance Monitoring, EMEA to join their team in London, due to the current incumbent taking early retirement.As they are a small compliance team of 8 covering the whole of EMEA, they are looking for a hands-on compliance professional who is happy to roll up their sleeves in order to get the job done.
This is an exciting role for someone looking to gain greater exposure in a large, global firm and who wants to have a direct impact and influence on the business.
They are looking for:
*Compliance Monitoring experience
*Asset Management Experience: Previous experience of working in an asset management company with exposure to a multi-manager model. Must be from an institutional asset management background.
*Irish & European Regulations: Excellent experience of working in regulations/guidance issued by the FCA and CBI but also other EU authorities (i.e. ESMA). In particular, knowledge of UCITS / AIFMD / MiFID II (particularly, Transaction Reporting) / EMIR/ SFTR.
Main duties:
*Regulatory Strategy/Risk Assessment: Contribute to the maintenance of a regulatory risk assessment to underpin and prioritise the activities of the Compliance Monitoring component of the EMEA Compliance Function.
*Senior Management Reporting: Responsibility for the creation and delivery (by attendance as necessary) of comprehensive regulatory compliance monitoring reports to senior management including to relevant board of directors
*Regulatory Framework: Continually analyse and interpret EMEA regulation, principles, guidance or best practice and agree with the Director, EMEA Compliance how these impact compliance monitoring activities.
*Monitoring programme: Develop, document and execute robust risk-based compliance monitoring programmes and procedures. This to include:
oon-going guideline surveillance against UCITS, AIFM regulations and segregated client mandates; and
othematic monitoring investigations as required by the risk assessment process.
Key stakeholders:
*Financial Conduct Authority (FCA)
*Central Bank of Ireland (CBI)
*RIL/ RIISL/ RIIL & Fund Boards
*Director, EMEA Compliance
*Delegates (intra-group and third-party)
To learn more about this role drop me an email: candice.larcombe@badenochandclark.com
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.
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