Assistant Manager, Compliance Monitoring AM vacancy at BRUIN Financial in London

BRUIN Financial is at the momment seeking for Assistant Manager, Compliance Monitoring AM on Mon, 11 Nov 2013 13:14:04 GMT. Our client is a leading Financial Services firm, who are currently looking for an Assistant Compliance Manager, for their Asset Management business. The purpose of the role is to provide assistance in carrying out independent compliance monitoring activities throughout the global function of the firm. The role holder will provide assurance that the business is operating in line with the codes of...

Assistant Manager, Compliance Monitoring AM

Location: London, England

Description: BRUIN Financial is at the momment seeking for Assistant Manager, Compliance Monitoring AM right now, this vacancy will be dwelled in England. More complete informations about this vacancy opportunity kindly see the descriptions. Our client is a leading Financial Services firm, who are currently looking for an Assistant Compliance Manager, for their Asset Management business. T! he purpose of the role is to provide assistance in carrying out independent compliance monitoring activities throughout the global function of the firm. The role holder will provide assurance that the business is operating in line with the codes of business standards as well as compliance with appropriate laws, regulations and conducts. This position is situated within the wider Compliance Monitoring Team.

Key responsibilities:

• Preparing in depth, quality reviews of First Line of Defence Controls.
• Keeping up to date with changes in the regulatory environment and principle business, practices and industry developments.
• Building strong working relationships with advisory teams and business locally and assisting with compliance risk assessments by working with senior management and drawing o the experience of the local advisory team.
• Supporting the team with the preparation of a monitoring plan and reports for the primary! stakeholders that outline the outcomes of monitoring and revi! ews, included in this is assigning owners or actions and rating findings.
• Thoroughly recording review and monitoring work onto the reporting database.
• Tracing and following up any actions identified as result monitoring and reviews.
• Anticipating changes in regulatory developments and keeping updated to ensure that the compliance programme and plan are adequate.
• Implementing both external and internal audit points in a timely manner, maintaining business control standards.
• Assisting with the allocations of responsibilities set out by Legal and Compliance, helping to build a compliance culture and working to enhance relations with the regulators.

As an ideal candidate you will have Compliance experience within asset management, preferably on the institutional Compliance monitoring side. You will possess a good understanding of the FSA handbook and the ability to relay regulatory and business implications of analysis and ! findings. This role presents an opportunity to further develop a career within Compliance inside one of the most recognized financial institutions in the world.

To discuss this vacancy and others within Investment Banking please contact Agi Heale on 020 3145 3376
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If you were eligible to this vacancy, please send us your resume, with salary requirements and a resume to BRUIN Financial.

Interested on this vacancy, just click on the Apply button, you will be redirected to the official website

This vacancy will be started on: Mon, 11 Nov 2013 13:14:04 GMT

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