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Compliance Monitoring Manager - Asset Management

  • Location


  • Sector:

    Regulatory, Risk & Compliance

  • Job type:


  • Salary:

    £500 per day

  • Contact:

    Jon Garrod

  • Contact email:


  • Contact phone:


  • Job ref:


  • Published:

    over 1 year ago

  • Duration:

    6-12 months

  • Expiry date:


  • Startdate:


Are you an experienced Compliance Monitoring professional with a strong background in Asset/Investment Management? Do you have good knowledge of FCA rules and financial promotions? Are you looking for a challenging contract role working for a global asset management firm? Then look no further!

In this role as Compliance Monitoring Manager, you will report directly into the Head of Compliance, and some of your responsibilities will include:

  • Perform detailed monitoring reviews in accordance with the internal risk-based monitoring programme based on emerging risks and applicable FCA rules and regulations.
  • Highlight findings from monitoring work performed to the Head of Compliance in a timely manner and, work with the business to bottom out the issues and agree appropriate actions to address these
  • Monitor the status of implementation of corrective action and where issues are not implemented in line with agreed timelines escalate to the Head of Compliance
  • Ensure all compliance principles, policies and procedures are clearly defined and regulatory developments are proactively appraised and communicated
  • Monitor AML regulatory initiatives and ensure that AML policies and procedures comply with applicable current legislation and with group  policies;
  • Perform general compliance tasks as well as involvement in ad hoc compliance projects


  • Strong experience or understanding of the asset management industry;
  • Proven prior experience working within Compliance Monitoring
  • Good knowledge of FCA rules or equivalent as applicable to a UK asset management environments and excellent knowledge of financial promotions and funds distribution elements
  • Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds;