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
- 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.
- 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