Compliance Monitoring Associate

Type: Permanent
Location: London

Ocean has been engaged by a prestigious Asset Manager who are seeking to hire a Compliance Monitoring Associate. Working as part of a dynamic team and reporting into the firms impressive Head of Compliance Monitoring, you will be responsible for leading upon firm wide thematic reviews, across all of the firm's business lines. The remit of the role will be global one.
Our client values diversity in the workplace and welcomes applications from everyone. If you have a disability and need help with the application process, please tell us.
Key remits:
  • Assist in designing and executing the firms Compliance Monitoring strategy
  • Assisting in carrying out Thematic Reviews across the firm's various business lines
  • Consulting with the wider Compliance team to ensure that the firm's approach to delivering reviews remains effective
  • Identify enhancements in processes and assist in implementing system changes
  • Providing remedial actions to key stakeholders
  • Preparing and delivering reports to regulators and key internal stakeholders
  • Keeping up to date with regulatory rules and changes
  • Substantial Compliance Monitoring experience gained within the Asset Management or Investment Banking space - Internal Audit experience will also be considered
  • Experience of working on Thematic Reviews will be essential
  • Excellent knowledge of FCA and EU regulatory developments governing the Asset Management space
  • Excellent Stakeholder management skills
  • Excellent written and verbal communication skills
Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate


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* Assumes 261 working days less 9 bank holidays and 25 non billing days such as holiday etc