Compliance Monitoring Officer

£55000 - £65000 per annum Pension, Bonus & Other

Compliance Monitoring Officer - Asset Management - Buy Side - Thematic Review

One of the most reputable Asset Management companies in London are looking to recruit a Compliance Monitoring Office.

This is a Permanent Role
Role: Compliance Monitoring Officer
Salary: Up to £65,000
Location: London

This role will be reporting directly to the Head of Compliance Monitoring you will gain valuable experience by working very closely with senior management. The main responsibilities of the role will be helping with the annual compliance monitoring plan and conducting thematic reviews to ensure that it is compliant with regulation.

The company itself has a strong compliance culture and the department works with the business in a cohesive manner. With this they are looking for someone that is collaborative in nature and will share with colleagues whilst being open and transparent. As with any compliance role the successful candidate will act with integrity, care and diligence.

The roles main responsibilities will be:

  • Undertaking thematic compliance monitoring reviews in accordance with the risk based annual Compliance Monitoring Plan.
  • Maintain awareness of global regulatory developments with regards to all business activities.
  • Provide technical support and develop the wider compliance monitoring team to added value and ensure efficient use of resources.
  • Assist with the preparations of key reports for stakeholders covering monitoring and progress within the monitoring plan.
  • highlighting any specific high-risk areas, management of actions and progress against the compliance monitoring programme.
  • Have minimum 3 years' experience working within Asset Management Compliance Monitoring.


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