A regulatory hosting platform is seeking experienced Compliance Monitoring professionals from either consultancy or asset management to join their growing business.
Working in a compliance team of 8, you will provide monitoring support both internally for the regulated company, and also external oversight of the clients under their umbrella.
Key responsibilities will include
- set up of the client compliance infrastructure, including developing compliance policies and procedures bespoke to the client
- designing monitoring programmes based on client due diligence
- performing client compliance monitoring and ongoing advice and assistance, sometime on-site/client-facing
- enhancing internal monitoring procedures
- producing compliance monitoring reports
- overseeing the review and approval of client financial promotions conducted by the on-boarding team
- overseeing the onboarding process and dealing with any compliance related queries
Monitoring experience gained in Compliance Consulting or Asset Management.
A confident and strong character, able to deal with external clients as well as internal stakeholders
Experience of relevant regulatory environments including AIFMD, MiFID, CFTC/NFA, SEC and MFSA
Please quote (43094) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website www.alexanderlloyd.co.uk for any other roles which may be of interest.