Compliance Monitoring Associate

Zoek Pin London, Greater London, England

Permanent (Full time)

Posted 9 days ago

The main purpose of the role is to monitor the activities of a portfolio of Funds and Appointed Representatives (“ARs”) such that risks can be assessed and managed. The role is very varied with the role holder managing a variety of types of firms with a great opportunity to learn about the investment environment.

Although the role holder will take responsibility for both types of serviced entity, it is likely that the role will be focused towards the needs of Funds clients. Because of this, we are looking for someone with experience in Funds, perhaps in an operational or monitoring role. The G10 Monitoring team is high performing with lots of opportunity for learning and progression.

Day-to-day as Compliance Monitoring Associate:

* Carrying out ongoing monitoring as per the compliance monitoring plan, acting as the main point of contact to ARs and Funds

* Developing deep relationships with the portfolio of firms and meeting their needs; escalating issues and identifying offboarding risks where appropriate

* Identifying risks and producing management information (MI) in accordance with the Risk Management Framework

* Collaborating with colleagues from across the team and the wider IQ-EQ Group

* Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives

* Following the set policies and procedures around managing conduct risk and appropriate AR/Fund oversight

* Enhancing own understanding of regulatory landscape

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