Manager, Monitoring and Detection

Job title:

Manager, Monitoring and Detection

Company

CFA Institute

Job description

As the global association of investment professionals, CFA Institute sets the standard for professional excellence and credentials. We champion ethical behavior in investment markets and serve as the leading source of learning and research for the investment industry. We believe in fostering an environment where investors’ interests come first, markets function at their best, and economies grow. Spanning nearly 200,000 charterholders worldwide across 160 markets, CFA Institute has 10 offices and 160 local societies. Find us at or follow us on and .At CFA Institute, we care about our employees’ mental, physical, social, and financial well-being. That’s why we are committed to providing a comprehensive, competitive benefits package that offers flexibility to make choices that meet their needs:Health & Well-being benefits that are amongst the best in the industry with full comprehensive Medical, Dental, and Vision for employees and their family membersComprehensive Leave and Time Off plansA focus on Financial Well-being means that we stack our retirement benefits against the most competitive standards.Flexible work arrangementsWellness, Education, and Employee Assistance BenefitsJob Description Summary:Job Description:The Manager for Monitoring and Detection is responsible for designing, developing, and maintaining an efficient monitoring program that ensures CFA Institute members and candidates adhere to the Code of Ethics and Standards of Professional Conduct. This role involves leading a team, coordinating with peers, utilizing technology, and providing crucial preliminary case evaluations.This role will be based in the UK (remote) and will report to the Head of Professional Conduct.The requirements of this role include:

• Design, develop, and maintain a relevant and efficient monitoring program that assists in the identification of CFA Institute members and candidates who have violated or are suspected of violating the Code of Ethics and Standards of Professional Conduct.
• Lead, motivate, and develop the Monitoring and Detection Coordinator by providing direction, mentoring, performance feedback and support.
• Coordinate with global peers within Professional Conduct to ensure the seamless transition of cases between Monitoring and Detection to the investigative team member.
• Provide preliminary information of case complexity / finding to the Director and Lead Investigator to identify relevant issues and cases involving CFA Institute charterholders, members, and candidates, and then make responsible, thoughtful recommendations to the Director and Lead Investigator as to whether an investigation by Professional Conduct should be initiated.
• Thoughtfully and knowledgeably explore and implement the use of technology, including AI, for monitoring and detection.
• Evaluate trends to identify efficiency enhancements that would improve the detection of potential cases.
• Leverage various information sources, including Compliance Connection.

The skills and experience required for this role include:

• Bachelor’s degree or an equivalent combination of education and experience.
• Considerable experience of performing monitoring and detection activities, preferably in finance, investment management, or related fields.
• Proficient in monitoring technology; experience using AI for monitoring activities a plus.
• Proficient with Office productivity tools including Microsoft Office Suite, Adobe, and Adobe Premier Pro.
• Ability to handle confidential and sensitive information with a high degree of professionalism.
• Willingness to ask questions and implement continuous process improvements.
• Demonstrated elevated level of written and verbal communication skills.
• Ability to successfully lead and manage diverse personnel.
• Comfortable with and proven ability to drive organizational change.
• Very high level of organizational and time management skills
• Fluency in English required, knowledge of additional languages is a plus.

Working and travel requirements:

• Full-time employment, with a requirement for occasional travel to our London Head office on Lombard Street (EC3).

This opportunity is open to internal and external candidates. CFA Institute is committed to the professional development of its employees; first/full consideration will be given to internal candidates.If you feel this opportunity could be the next step in your career, we encourage you to click “Apply” and complete our three-minute application.To stay up to date on current news and events, follow CFA Institute’s page.We are an Equal Opportunity Employer. CFA Institute prohibits both discrimination and harassment with regard to all identifying characteristics: any individual employee, group of employees, or prospective employee on the basis of race, color, national origin, citizenship or immigration status, religion, creed or belief, age, marital or partnership status, marital or family status, care giver status, pregnancy and maternity, sexual and other reproductive health decisions, physical abilities/qualities, disability, sexual orientation, gender, gender identity or expression, predisposing genetic characteristic, military or veteran status, status as a victim or witness of domestic violence or sex offense or stalking, unemployment status, infectious disease carrier status, migrant worker status, educational background, socio-economic status, geographic location and culture or any other basis protected by applicable law. This policy impacts all aspects of employment, including but not limited to, recruitment, hiring, compensation, training, development, promotion, demotion, layoff, recall, furlough, transfer, leave of absence, and dismissal. This is a global policy that applies to all CFA Institute employees, regardless of location.If, due to a disability or current medical condition, you need an accommodation or assistance to complete a job application, you can request one at any stage of the recruitment process. Please send an email to noting the accommodations or assistance you are requesting. Please do not include any medical or health information in this email. We will review your request and contact you to discuss the possible options and arrangements. We will try our best to provide you with an accommodation or assistance that meets your needs and respects your preferences.Our application is not compatible with Internet Explorer (IE). We recommend using Chrome.

Expected salary

Location

London

Job date

Sat, 07 Sep 2024 07:17:38 GMT

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