I am currently recruiting for a Compliance Monitoring role on behalf of a successful Wealth Management firm based in the West End. Their hybrid model requires staff onsite 3 days a week. Candidates must have experience in either UCITS or AIFMD to be considered for this role.
Responsibilities:
- Manage the Compliance Monitoring Plans ('CMPs'), specifically, conducting monitoring activities, recording evidence, reporting findings and proposing enhancements where appropriate.
- Review compliance policies and ensuring these are regularly updated.
- Provide input into fund compliance projects as required.
- Monitor PA dealing requests and Gifts and Entertainment.
Person Requirements:
- Previous compliance experience in a Fund Administration, Management Company or Asset Management environment necessary.
- Experience of performing monitoring activities, audits or other forms of reviews.
- The candidate is expected to have good knowledge in the following subjects: UCITS and AIFMD requirements, Fund and Product governance, Systems and Controls, Conflicts of Interest, Consumer Duty.
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
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