To support the Compliance function deliver and report 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.
Primary 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, recordkeeping, 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.
Key Skills/Responsibilities:
Familiarity with how a buy-side, Asset Management company operates.
Strong experience of Compliance Monitoring in an Asset Management firm is essential
Track record of Thematic review, good experience working with regulators.
The candidate should be able to adapt quickly to core compliance and trading systems and proactively identify and propose solutions to issues arising.
The candidate should have good analytical skills, capable of thinking logically, using initiative and systematically able to resolve problems.
The candidate should have an advanced knowledge of Microsoft Word, Power Point and Excel and the ability to build reports to enable the extraction and analysis of data sets.
