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Risk & Compliance Manager

  • Location City of London
  • Job type Permanent
  • Reference SC01
  • Salary £70000 - £90000 per annum
  • Specialisation Compliance
  • Posted July 12, 2022

We are currently partnered exclusively with a newly established investment advisory firm who are specialists advising on global multi-asset client portfolios.

The opportunity is a newly created position and is the first compliance hire for the business which will see you work closely with C-Level stakeholders to to execute the firms Risk Management and Compliance Framework

Responsibilities

  • Lead on executing the risk & compliance strategy and framework
  • Advise the management of new, evolving or emerging operational risks (including cyber risk) and ensure these are maintained within the Risk Register
  • To support the management and maintenance of the Risk & Control Register, Risk Management Framework (including operational risk policies & procedures) risk appetite, key risk indicators, risk management information, and risk governance framework, facilitating the embedding of the framework on behalf of the CRO.
  • Maintain the Risk Incident Register and reporting policies & procedures
  • Monitor and review outsourced service providers and provide reporting to the Outsourced Services Committee
  • Monitor, review and report Business Continuity Plan and processes are maintained and updated
  • Implement the compliance monitoring process
  • Be responsible for all anti-money laundering and financial crime processes and procedures.
  • Conduct compliance training for all new recruits and all staff on an annual basis
  • Ensure all staff provide necessary compliance assurances and confirmations on a quarterly basis.
  • Ensure all conflicts, PA dealing, and gifts and entertainment are reported and approved in a timely and compliant basis.
  • Facilitate and coordinate Internal Audit reviews with outsourced third-party internal audit provider
  • Perform MI reporting to the Audit & Oversight Committee & Risk & Compliance Committee on risk and compliance related matters
  • Ensure all policies are up to date and comply with current law and regulation.
  • Ensure comprehensive implementation of all policies.
  • Ensure compliance with all obligations imposed by our principal firms.

Competency

  • 7+ years compliance experience within compliance (asset management,wealth management or consultancy)
  • In depth knowledge of Compliance under the FCA regime
  • Strong stakeholder management skills