• 26 August 2008
• Reference: JR202611

• Compliance Officer - Surrey

• Surrey Competitive Permanent
• Benefits: competitive

We are seeking a compliance officer for a highly challenging and responsible role within a leading provider of financial services. Our client is an established fund manager that serves the investment needs of individuals, institutions and advisers in markets outside the Americas, providing mutual funds, defined contribution pensions, segregated portfolios and multi-manager products.

The key objective of the compliance group is to provide independent assurance to our client's board on the adequacy of compliance with global policies and key regulatory requirements.

As part of the centralised monitoring and assurance group, you would be responsible for performing assessments of local monitoring, investigating and reporting progress against local compliance monitoring plans, and participating in themed reviews across all business lines and geographies. This work is designed to create a mechanism to afford senior management a high level of confidence that the function meets (or has robust plans in place to meet) statutory, regulatory and legal requirements of all jurisdictions across which the business operates.

We seek candidates with good compliance monitoring experience within a regulated UK financial services business; ideally working within mutual funds, retail dc / db parts of a business. An awareness of the regulatory environments in which our client operates would be beneficial.

If you feel you fulfil the above criteria, then please apply now with your CV, and we will get back to you with further information.

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• Surrey,
• Permanent,
• Asset/ Investment Management,
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• Monitoring / Surveillance / Testing,
• Surrey,
• Permanent,
• Asset/ Investment Management,
• regulatory,
• assurance,
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