Head of Compliance Monitoring

Location
England, London, City of London
Salary
Negotiable
Posted
30 Mar 2021
Closes
27 Apr 2021
Ref
CL123456
Contact
Candice Larcombe
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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