Senior Compliance Monitoring/Surveillance Manager

Contract - apply for details

FourthLine are currently engaged with a leading Asset Management firm who are looking to recruit a Senior Compliance Monitoring/Surveillance Manager for an initial 12 month contract, with a view to permanent.

ROLE; Senior Compliance Monitoring/Surveillance Officer

DAY RATE: Market Rate


The main responsibilities of the individual will be to oversee and enhance the Compliance Department’s front office monitoring and surveillance activities. It is also encouraged to offer advice on related existing and new regulations, policies and procedures, working closely with the first line of defence control group.


- Responsible principally for overseeing and developing second line of defence surveillance and monitoring. This will include;

  • Best Execution (including timely execution) - equities, Fixed Income, FX, Derivatives
  • Market Abuse Prevention

- Responsible for developing and overseeing the completion of key parts of the annual CMP, applying a risk based approach;

  • Assisting in updating and making the CMP more comprehensive

- Preparing compliance reports to quarterly meetings of UK Best Execution Committee and UK Compliance Committee

- Training & mentoring existing Compliance staff


  • Min 5 years experience in Compliance Monitoring within Asset Management (trade and communication surveillance)
  • Strong product knowledge including equities, fixed income and derivatives
  • Strong knowledge of FCA handbook and EU Regulation

If you qualify for the above, please get in touch with your details.


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