The role will work with both the Compliance Monitoring and wider Compliance team to provide an effective Compliance Monitoring function for the global business. The primary responsibility will be to support the development of a risk based regulatory monitoring programme, and execute thematic, desk based and surveillance monitoring. The role will also assist with automated trade surveillance activities and other regulatory projects and initiatives.
Applicants should have Compliance Monitoring experience, preferably from the asset management industry, with a strong understanding of UCITS / AIFMD and the FCA Handbook. The ideal candidate would have experience of a broad range of investment products (Equities, Fixed Income and Derivatives) and possess an industry related qualification (e.g. IMC / CFA).