Monitoring Manager (top tier house - private banking)

My client is a global financial services house with a strong presence throughout Europe.

The successful incumbent will assist with the continued development and execution of a comprehensive risk based compliance monitoring programme.

Responsibilities will include:

• Compliance monitoring covering a range of activities, primarily across the regulated Private Banking business and also Capital Markets.
• Email monitoring - assist in reviews of daily exception reports in Capital Markets
• Follow-up investigations as required as a result of Email monitoring or business/regulator-generated enquiries.

The ideal candidate will possess as many of the following as possible:

• Broad knowledge of the UK regulatory framework in particular FSA COBS and SYSC.
• Basic knowledge of US SEC requirements applicable to investment management/ advice.
• Broad product knowledge of investments offered to Private Banking clients.
• At least 18 months experience of Private Banking (or Private Client Investment Management) Compliance
• Some Compliance Monitoring experience
• Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc

For more information on this role please send a CV to cbrowne@jmagill.com or call Catriona Browne directly on 0207 614 7691

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