Risk & Compliance Specialist

THE COMPANY:

We are delighted to be working with one of the UK’s largest asset management firms, with over £10bn AUM.  They are seeking a Risk and Compliance Specialist to join the team.

THE RESPONSIBILITIES:

• Advise business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
• Provide investment risk and compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer-centric culture
• Support the Head of Risk and Compliance in the delivery of the Compliance Plan including the completion of risk-based compliance assurance activities
• Undertake a variety of monitoring and assurance activities including compliance-based audits and risk assessments
• Support and pro-actively work with the Head of Risk and Compliance to effectively manage and deliver Depositary and FCA requests to high standard, enhancing our relationship with the regulator.
• Review the funds adherence to investment borrowing powers as set out in COLL 5 and in the ICVC Prospectuses.
• Create trend analysis mechanisms to track experience and anticipate issues.
• Collate Compliance reporting and KPI tracking for use within the team and any relevant Committee(s).
• Interacts with Group stakeholders in a professional manner and is able to effectively question, challenge and handle conflict when needed
• Produces high quality, professional reports for business units and the wider senior management team.
• Tailors written and verbal communications appropriately to reflect the content and, to meet the needs of the audience.
• Actively keeps up to date with developments in regulation
• Advise and influence all key stakeholders including first line operational business areas, Group stakeholders and members of the senior management team
• Develop and maintain professional working relationships with internal contacts to ensure the provision of an effective and efficient service
• Assist other team members – develop and demonstrate ‘one team’ behaviours
• Contribute to a positive relationship with Depositary and FCA by supporting the Head of Risk and Compliance to deliver high quality responses/ Ml as required
• Work with external parties including Fund Administrator, Transfer Agent, consultants and auditors, in a professional and competent manner investment and borrowing powers), SYSC,
• Good understanding of Risk Management Principles – investments and operations.
• Sustainable investing including reporting requirements.
• Good market, risk and business awareness.

EXPERIENCE REQUIRED:

• Operational compliance experience in the investment management sector particularly in an ACD business.
• Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements.
• Experience of the operational risk environment relating to ACDs and DFMs including investment principles, investment types and portfolio liquidity.
• Knowledge and second line input into the ICARA process.
• Exceptionally well-organized, with a proven track record of maintaining detailed records and robust audit trails.
• A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook.

For further information please contact Spencer Evans