• 28 August 2008
• Reference: JR204551

• Compliance Monitoring Manager

• City of London £200 - £250 day Temporary
• Benefits: n/a

The Compliance Monitoring Program has always been a key component of the compliance framework in London. This program meets our obligations to evidence to the regulators that we understand the rules that apply to our business and, using a risk based approach, that we regularly test compliance with the FSA Hand Book.

Increasing regulatory demands, particularly in the areas of fund administration, FX and deposit taking, necessitate the need to enhance the existing program to incorporate these areas, and sufficiently resource the program. The program has in the past been managed and executed by a Senior Manager level employee as part of the general risk/compliance mandate.

Responsibilities:

- Developing, agreeing and finalising, in conjunction with the Compliance Manager, the annual
Compliance Monitoring Programmes for both Custody and Fund Administration
- Continuous monitoring, utilising time management and organisation skills, in order to effectively
conclude on all Compliance Monitoring Programmes within the defined time frame, evidenced by
the preparation of requisite reporting for Senior Management
- Developing and implementing an effective Compliance Monitoring reporting tool
- Developing the programs in order to incorporate business growth/development
- Regulatory changes into the Compliance Monitoring Programme
- Updating knowledge, on a continuing basis, to keep apprised of regulatory changes
- Evaluating regulatory impact in relation to the Compliance Monitoring Programme

Personal attributes:

- Compliance Monitoring experience in a Custody,
- Fund Administration and / or Transfer Agency environment is preferred
- Compliance related qualifications and/or relevant continuous Compliance personal development
- Achievement of relevant Compliance or other equivalent qualifications
- Compliance Monitoring experience in a Global Custody and Fund Administration environment
- Or similar experience in a financial institution, such as fund management or an investment house
- Minimum of 5 years experience, breadth and scope will be consider
- Previous experience of a risk based approach to Compliance Monitoring is essential


If you would like to apply for this Compliance Monitoring Manager role then please send your CV over to us today.

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Keywords related to this job

• Compliance,
• Compliance Managers,
• City of London,
• Temporary,
• Investment Banking,
• Compliance Monitoring Manager