Head of Compliance Monitoring (12 Months)

London (Central)
Up to £1,100 per day
03 Jan 2019
17 Jan 2019
Contract Type
Contract / Interim

The Head of Compliance Monitoring will be responsible for overseeing and developing second line of defence surveillance and monitoring of portfolio managers. They will also be responsible for the following:

  • Preventing Market abuse across Fixed Income, Equities and Derivatives
  • Best execution across Fixed Income, Equities and Derivatives
  • Developing and overseeing the completion of key parts of the annual Compliance Monitoring Plan CMP
  • Updating and making the CMP more comprehensive
  • Producing objective, timely and well-presented monitoring reports, based on clear and organised records that document the work performed and support conclusions reached
  • Preparing compliance reports to Compliance Committees
  • Contributing to the preparation of periodic compliance reports to clients
  • Ensuring timely escalation of any suspicious behaviour resulting from MAR surveillance activities
  • Managing a small team of Compliance Officers
  • Contributing to the production of quarterly board reports


  • Extensive compliance monitoring experience within asset management
  • Detailed product knowledge of Fixed Income, Equities and Derivatives
  • Knowledge and understanding of the FCA handbook and relevant EU regulations
  • Knowledge of SEC and FINRA requirements
  • Experience mentoring and managing a team

If this assignment is of interest please email Andre by clicking on Apply or call 0207 213 9049.

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