• 1 September 2008
• Reference: JR202615

• Senior Compliance Manager

• City of London Excellent Permanent
• Benefits: excellent

A Senior Manager is required for Compliance Trade Monitoring within an independent, established provider of mutual funds, defined contribution pensions, segregated portfolios and multi-manager products.

This function is to enhance and expand current compliance monitoring capabilities in the front office. This may involve international travel in the future.

Key responsibilities will be to conduct the UK compliance monitoring program with focus on front office functions. You will conduct periodic surveillance reviews and plan theme reviews, and develop the monitoring program to enhance coverage and frequency. The successful candidate will also provide recommendations and work with business on corrective action.

The candidate will preferably be of graduate calibre, with ideally relevant professional qualification e.g. Part qualified accountant (audit firm), IMC, or similar. Good experience performing asset management surveillance activities (not retail) or relevant external audit experience is essential.

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Keywords related to this job

• Compliance,
• Investment / Trade Compliance,
• City of London,
• Permanent,
• Asset/ Investment Management,
• Compliance,
• Trade,
• Monitoring