Compliance Monitoring Manager - Asset Management

Type: Permanent
Location: London

Ocean has been engaged by a prestigious Asset Manager who are seeking to hire a Compliance Monitoring Manager who will report into the firms CCO and take responsibility of the Compliance Monitoring team, ensuring the high quality delivery of the Compliance Monitoring function.
Key remits:
  • Designing and executing the firms Compliance Monitoring strategy
  • Managing a team of three Compliance Monitoring Analysts
  • Leading on Thematic Reviews across the firms 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 Monitoring Front Office
  • Experience of leading on Thematic Reviews
  • People management/mentoring experience
  • 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