Compliance Monitoring Officer

  • Salary:£40,000-£60,000 per annum Bonus and benefits
  • Location:London West End
  • Term: Permanent
  • Posted:04 Jan 2016
  • Tiger Job ID:DMCOMPLY

Our client is a West End based Asset Management company and they are looking for a compliance monitoring officer to join their compliance team. Please see further details below:

Undertake daily, periodic and third party compliance monitoring;

Assist in the review, development and implementation of a risk-based compliance monitoring programme including specific Best Execution Fair Allocation Market Abuse and “Fair Value” Pricing; reviews utilising Bloomberg AIM, Bloomberg BTCA and other related monitoring tools

Ensure findings following testing of the compliance monitoring programme are documented and followed-up in a timely manner; 

Identify and monitor risks that the company faces and suggest ways to mitigate these risks as well as consider any attendant Conflicts of Interest;

Assist in enhancing current compliance monitoring statistics (MI) as both a management tool and as a mechanism to identify potential increases / decreases in the risks the company faces (amending the compliance monitoring programme where necessary);

Provide data and written reports for inclusion in Board Reports; and specific Management Committees specifically the  Broker, Operations and Pricing Committees instituted from time to time;

Perform general compliance tasks as well as involvement in ad hoc compliance projects and related Policy work;, such tasks may incorporate a modest degree of travel to assist with oversight and monitoring obligations;

To train other staff and to understand local operating practice in the context of the wider operating requirements of the company AM Division

Be aware of and understand the rules and regulations relevant to your position in the context of the Compliance function as the Firm’s second line of defence;

Be aware of and consider the impact on the six Treating Customers Fairly outcomes in respect of all activities undertaken;

Be aware of your obligations in preventing the company for further financial crime, in particular money laundering, terrorist financing, bribery and corruption and market abuse and to report any suspicions or suspicious activity to the Money Laundering Reporting Officer or in his absence, the Deputy Money Laundering Reporting Officer designated by the company or the relevant Compliance Officer, where market abuse is suspected;

Any other ad hoc duties you may be asked reasonably to perform consistent with your role and business driven work flows.

Experience, Knowledge and Qualifications Required for the Role:

Experience Proven prior monitoring experience working within Asset Management; Experience working for a small company. Knowledge

Fluency in French desired;

Knowledge of working with Bloomberg highly desired;

Competent user of Microsoft Word, Excel and Access plus additional software such as Visio.

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