Senior Compliance Executive

Competitive | Oxfordshire | Contract
Posted 25 days ago

Interim Senior Compliance Executive
Henley on Thames
Ongoing Contract
£ Competitive

InterQuest Solutions are delighted to be working with one of our key investment management clients to support with the recruitment of a interim Senior Compliance Executive based out of their Henley offices

The Role
Responsible for the delivery of high quality compliance monitoring activities covering business areas that ensure compliance with regulation and promotes fair customer outcomes. Whilst ensuring output feeds into the EMEA region’s risk assessment framework in order to identify ongoing monitoring priorities

Duties & Responsibilities
• Lead and/or assist on continuous and thematic monitoring reviews (to include planning, fieldwork, close out meetings, report production and action tracking etc.) UK and overseas group offices and at third parties as required, in order that appropriate assurance is provided to senior management as to the compliance of the firm with its policies, procedures and regulatory requirements.
• Focus on systemic compliance, trade monitoring including market abuse trends and product governance
• Represent Compliance Monitoring in project work streams and change management projects, as required.
• Represent Compliance Monitoring on appropriate business Committees as required.
• Liaise with the Compliance Advisory teams on emerging themes and review findings in order for these to be incorporated into the Compliance advice provided to the business.
• Build and maintain relationships with key business partners throughout the compliance monitoring process and continuous improvement.

Skills & Experience
• Ideal candidates will be immediately available and will have proven experience of the compliance monitoring process, ideally within the asset management sector
• You will have strong working knowledge of FCA regulatory requirements. European regulatory environment exposure in the asset management sector would also be an advantage.
• Previous experience of compliance monitoring across systemic compliance, trade monitoring including market abuse trends and product governance would be a distinct advantage
• Candidates will ideally be educated to degree level with degrees in business with compliance or audit experience being highly desirable.
• Enthusiasm to work in a fast-paced, dynamic environment with the appetite to learn and develop skills as both the business and the regulatory environment evolve
• Self-starter. Ability to drive forward the work plan under little supervision
• High standard of accuracy and excellent attention to detail and the ability to prioritise workloads and adhere to deadlines

For more information about this role, please contact:

Rachel Loughlin

rachel.loughlin@interquestsolutions.co.uk
0161 237 0063

See Rachel Loughlin's jobs
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