• 9 October 2008
• Reference: JR201187

• Compliance Monitoring Executive

• City of London £40,000 - £60,000 p/a Permanent
• Benefits: benefits

One of the most renowned and prestigious wealth managers in the world requires a monitoring and oversight executive manager.

The monitoring and oversight executive manager will be required to support/conduct multi jurisdictional and complex regulatory risk assurance and monitoring reviews within business units and central functions. The job will include all parts of the monitoring process, including planning, execution of risk assessments and monitoring, reporting and follow up. The jobholder will be expected to work flexibly and cover all aspects of compliance regulation covered by the relevant monitoring and oversight team.

Main accountabilities will focus on risk assessments. You will identify legal and regulatory requirements and risks arising from them. You will also be responsible for identifying new and emerging risks from business and regulatory developments and assessing their impact on the monitoring programmes and plans.

In order to ensure success with this role, you must demonstrate strong interpersonal skills enabling effective communications, written and oral, at all levels. You will show a broad base of compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas.

Extensive knowledge and experience is required in one or more of the following areas:
*Financial crime (KYC/AML)
*Sales/suitability
*Investment product/asset management
*Operations and outsourcing

Audit/compliance experience is necessary, preferably in private client or investment management business. Practical experience of an appropriate risk based approach to monitoring (gained either in audit or compliance monitoring) is also required. Lastly, the successful candidate will be required to travel to Europe on a regular basis and on occasions to Asia.

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Permanent,
• Private Wealth Management,
• monitoring,
• compliance