Compliance Monitoring Officer

£0 - £60000

Compliance Monitoring Officer – Asset Management

A well-known Asset Management company in London are looking to recruit a Compliance Monitoring Officer to join the Compliance Monitoring Department.

This is a Permanent Role
Role: Compliance Monitoring Officer
Salary: Up to 60,000
Location: London

This role will be reporting directly to the Head of Compliance Monitoring you will gain global exposure by performing oversight on third-party investment advisors, third-party fund administrators, trustees/custodians, prime brokers, investment management, fund distributors and internal functions.

The company it’s self 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 risk-based compliance monitoring reviews in accordance with the risk based annual Compliance Monitoring Plan.
  • Maintain awareness of global regulatory developments with regards to all company activities.
  • Provide technical support and develop the wider compliance monitoring team to maximise added value and efficient use of resources Maintain awareness of global regulatory developments with regards to all business activities.
  • 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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