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Compliance Monitoring Manager, Asset Management


Compliance Monitoring Manager, Asset Management


This is an opportunity to join a market-leading Asset Management business - based in the City - in a Compliance Monitoring Manager role; within which you will take a lead role in the design, implementation and continuous development of robust monitoring procedures.

If you have proven experience of working in a similar role within the Asset Management field, and you want to join a business that is growing; where they can offer you the opportunity to further your experience and career in both the short and long term, then this is an ideal for you.

Specifically, key responsibilities for this role includes:

* Working closely with various business areas to advise and gain required assistance with testing these monitoring initiatives.
* Maintaining Compliance registers and associated records; inc. breaches, complaints, gifts and entertainment, PA dealing etc.
* Working with internal stakeholders to resolve internal and external investment restriction breaches.

In return, this role offers a competitive, market-rate salary, discretionary bonus, enrolment onto the company Pension, Private Medical, Life and Income Protection schemes, as well as the aforementioned challenges and career progression that come with working for an established-yet-growing, progressive business.

Please quote <44932> when calling Tom at Alexander Lloyd or email them at This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk 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.

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 for any other roles which may be of interest.

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