Senior Compliance Executive -Monitoring

Fund Management

Henley - on - Thames

Permanent ⁄ £50000 - £75000

Updated May 8, 2012

Job Description

• Compliance Monitoring. Undertaking compliance monitoring reviews (to include planning, fieldwork and report production) in Henley, overseas offices and at third parties as required to ensure company functions are adhering to company policies, procedures and regulatory requirements
• To supervise/mentor as required less experienced members of the monitoring team
• To Identify and monitor compliance risk areas in the business and to initiate corrective action for avoidance of future breaches
• To undertake ad hoc work/projects as determined by the Senior Compliance Executive, Head of Monitoring and/or Director of European Compliance, including providing cover for PA Dealing and Pre Trade Investment Restrictions
• To be proactive in improving and refining the Compliance monitoring function

Who we're looking for
• An accounting/audit or financial services background with a minimum of 3-5 years' exposure to auditing/Compliance monitoring in the industry
• Experience and exposure to operational risk management procedures and processes
• A good understanding of the FSA regulations, especially Conduct of Business Sourcebook rules
• A good understanding of the technical nature of the business
• Graduate
• A professional qualification is desirable but not essential
• Effective time management skills
• Excellent interpersonal skills
• Highly organised
• Ability to work under pressure

About our client
A reputable investment management firm

What's on offer
up to £75000 plus package

Michael Page Contact
For further info, apply or phone on 0207 645 1419. Job Ref: 13217147
Your application will be sent to Sumrana Saleem.

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Where specific UK qualifications are required we will take into account overseas equivalents.
Please note, any salary/salary range and benefits described in this advertisement, are indicative only. The actual salary offered to the successful candidate may vary and will be dependent on skills and experience.

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