• 5 September 2008
• Reference: JR204730

• Compliance Monitoring Manager - EXCLUSIVE

• City of London £45,000 - £50,000 p/a Permanent

We are exclusively recruiting for a varied role at a premier European asset manager

The main purpose of the role will be to ensure the existing Compliance monitoring programme is managed and delivered within agreed timescales with all issues identified and investigated to conclusion. The successful candidate will be expected to produce reports that are technically sound, well written and delivered on time. The candidate will have experience of working within a financial services monitoring role, extensive knowledge of relevant regulation and a proven ability to maintain effective working relationships.

Principal Duties

Compliance Monitoring
Carry out risk based testing in relation to the annual monitoring
Review and revise monitoring programme and task worksheets as necessary;
Prepare draft reports on a timely basis providing an executive summary and setting out the findings of fieldwork.
Present finding and discuss with the Compliance Officer prior to distribution
Finalise reports for review and presentation to senior management;
Prepare and updating of the tracking schedule of recommendations and ensure that the business has taken required action within stated deadlines.

Anti-Money Laundering Reviews
Monitor internal AML procedures and those of outsourced providers, and discuss any findings and/or recommendations with the MLRO/Compliance Officer;
Conduct monitoring visits, as required, to operations to ensure ongoing effectiveness of their AML procedures (a small amount of travel will be involved)

Essential Skills & Experience
Experience of compliance including monitoring or internal audit roles
Good working knowledge of the FSA rules
Good inter personal skills with the ability to act at all levels in an organization.
Ability to work without direct supervision and to set deadlines
Good report writing skills (with an emphasis on compliance/audit style presentation

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Permanent,
• Banking,
• Compliance Monitoring