Description
Compliance Manager
We are currently looking to recruit a compliance manager who will be responsibile for establishing and maintaining the compliance, oversight and escalation framework that will underpin all investment supplier relationships, including the implementation of the risk based compliance monitoring programme covering all discretionary fund managers and custodians responsible for managing the companies assets
Compliance Responsibilities;
- Work with Inv Governance Manager, investment suppliers to lead implementation of annual risk based compliance monitoring programme. This will enable the company to oversee discretionary investment managers and custodians through a series of reviews to gain comfort on process, systems and controls in place.
- Lead planning for subsequent implementation of the annual monitoring programme
- Take responsibility to ensure documents obtained and prepared as evidence of controls from suppers
- Identify control weaknesses and agree/implement action plan
- Work on Risk and controls dashboard for each key investment supplier (KPI monitoring etc)
- Review dashboard/KPI reports
- Maintain knowledge of risks with in group investments and ensure best practice is implemented
- Support Governance managers in identification, management and mitigation of operational risks
Additional Requirements
- Strong networking/stakeholder management skills
- Influence stakeholders
- Work across a multi site team
- Experience across financial markets
- Experience in investment management industry