Global Compliance Monitoring Officer - Financial Services Firm

Global Compliance Monitoring Officer

Candidate Requirements:

- Experience of performing internal audit or compliance monitoring thematic review work in global jurisdictions and across a global organization.

- Experience of conducting testing activities across multiple fund ranges and strategies i.e. equity funds, multi-asset, alternatives, mutual funds, portfolio management etc.

- Technical regulatory knowledge around complex fund management requirements and a working knowledge of key applicable regulatory frameworks i.e. SEC, FINRA, FCA, ASIC etc.

- Experience of identifying and documenting risks and controls.

- Report writing experience.

- Track record of communicating at all levels of management.

- Attention to detail

Years of Experience:

- Minimum of 5 years Compliance Monitoring or internal/external audit experience.

- Minimum of 5 years working in Investment management/Asset management/Fund management services.

Qualifications:

- Sound understanding and experience of global compliance regulation (covering EMEA, North America/Canada and APAC).

- Testing/monitoring or internal/external audit (5 years) minimum at financial services firm

- Educated to University degree level.