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Compliance Manager

BBBH2490_1550082113
Negotiable


FourthLine are working closely with a client of ours; a leading investment management firm in London who are looking to bring in a Compliance Manager on a 3-month contract, to start immediately to support the compliance monitoring team.

Job Type: Contract
Duration: 3 Months
Location: London
Start Date: Immediately
Rate: Attractive Day Rate

Key Responsibilities:

  • Assist with the design, implementation and delivery of the risk-based Compliance Monitoring Programme across all regulated firms within the business.
  • Carry out effective surveillance and monitoring reviews against identified regulatory issues and risks.
  • Provide MI to senior management and committees.
  • Take lead on specifically allocated compliance projects and represent the team in meetings.
  • Be able to work with other members of the team providing support and guidance on Compliance and Risk matters.



Key Skills Required:

  • Minimum 5 years' experience working within the Financial Services with specific focus on Investment Management.
  • Previous experience on taking lead on a compliance function.
  • Robust knowledge of Retail and Wholesale regulatory Requirements particularly within an asset management context.
  • Pension experience would be preferable but not imperative.
  • Ability to hit the ground running working independently and within a team.
  • Strong attention to detail particularly with report writing and good analytical skills.
  • Real Asset Experience is desirable.


If you have the relevant experience and would like to discuss the role in more detail, please send an up-to-date CV

#LI-SH1


This job has now been filled but you may be interested in:

 

CASS Reconciliations analyst

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor to aid the team and CASS reconciliations activity.

This role will play an important part in:


* Managing Outsource relationships in relation to CASS reconciliations
* Investigation of breaks for both cash and assets and progress open items to closure
* Providing regular CASS reconciliation oversight, highlight insight on trends and provide feedback to senior CASS team members

You should apply if you:


* If you have prior CASS reconciliation experience, both under CASS 6 and 7 (ESSENTIAL)
* Experience working in a CASS firm where they use third party providers
* Have an eye for detail in relation to CASS breaks and potential breaches.
* Possess excellent relationship building skills and want to be part of an exciting CASS project
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

Operations Risk Analyst


FourthLine is working with a leading Asset Manager based in the City of London who are looking for a Risk Analyst on an initial 6-month contract.

Day Rate: up to £275 | London | Min 6 months


Responsibilities include:

  • Monitoring and following up on accuracy and integrity of data being received from outsourced provider.
  • Recommend changes to controls or creation of new procedures to ensure service levels and regulations are adhered to.
  • Manage day to day risk events, incidents and breach reporting between outsourced provider and the client.
  • Provide weekly, monthly and quarterly status updates of Management Information.

You should apply if:

  • 3 years' industry experience within risk, must be financial services
  • Familiarity with risk management concepts and internal control operations
  • Breach/Incident reporting experience essential
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

CASS project support administrator

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor work like to aid the project manager and Project SME. The successful candidate will be responsible for accurate minute and action taking for all aspects of the change programme, as well as participating in solution design workshops.

The successful candidate will have the following skills and experience:

  • Previous knowledge or experience of CASS, ideally within a Buy-side firm
  • Familiarity with risk management concepts and internal control operations
  • Prior experience in a support role, comfortable tracking projects, via meetings, workshops updating documents/systems
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

The contract will initially be 6 months paying £180 per day.
If you think it may benefit someone in your network please feel free to pass on my details.
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

MINIMUM Salary

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