Description
My client, a financial services company, have an urgent need for a contract Compliance Manager with Unit Linked experience to join them in either their London or Dorking based offices. You will be responsible 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 company assets.
Governance/Oversight Framework:
- Work with Inv Governance Manager (Unit Linked) and investment suppliers to lead implementation of annual risk based compliance monitoring programme which enables the organisation to oversee discretionary investment managers and custodians through a series of reviews to gain comfort on process, systems and controls in place
Compliance and Oversight:
- Lead planning for subsequent implementation of the annual monitoring programme
- Take responsibility to ensure documents obtained and prepared as evidence of controls from suppliers
- Identify control weaknesses and agree/implement action plan
- Work on risk and controls dashboard for each key investment supplier
- Manage breach logs and understand breach causes and how they can be rectified
Operational Risk Management:
- Maintain knowledge of risk with in group investments and ensure best practice is implemented
- Maintain operational risk log
- Support governance managers in identification, management and mitigation of operational risks
This list is not exhaustive but if you are interested in this role and have the relevant experience then please get in touch with an up to date C.V. All relevant candidates will be contacted directly.