Description
Compliance Thematic Monitoring Asset Management Regulatory Risk and Review
Our client is one of the worlds leading and most respected asset management institutions. Due to a maternity leave, an opportunity has arisen has arisen for a compliance professional with relevant, hands-on experience conducting deep dive regulatory compliance reviews as well as an understanding of regulatory risk and assessment methodologies. You will join their core compliance team on an interim basis. This will be an initial 12-month engagement with the potential for extension or permanent work thereafter.
THE ROLE:
- take ownership for leading and delivering EMEA and global thematic monitoring reviews;
- build an understanding and awareness of the firms business and it's operational and regulatory control environment;
- interact and build relationships with key business stakeholders across the life cycle of the review in EMEA region and globally;
- present findings and recommendations to senior management;
- bring their own insights and ideas to enhance the existing framework;
- escalate and track issues that are identified; and
- contribute to the management of the EMEA team.
SKILLS & EXPERIENCE REQUIRED:
- previously held relevant roles within a compliance function, a leading consultancy firm or a regulator.
- relevant, hands-on experience conducting deep dive regulatory compliance reviews as well as an understanding of regulatory risk and assessment methodologies.
- awareness of the FCA's (and ideally other European regulators) current expectations in relation to conduct and regulatory risk management.
- understanding of the asset management sector, preferably with previous experience working with or for an asset manager;
- strong written and verbal communication skills and confidence engaging with and managing ongoing relationships with a broad range of stakeholders within Compliance and across the business.
- a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy.