Asset Management Compliance - Risk Management

Key Accountabilities and Responsibilities :

- Provide advice and guidance to business on regulatory changes impacting asset management including gap analysis and business impact assessments

- Liaise with Portfolio Managers & Other Investment Staff on regulatory compliance matters

- Provide support in compliance or business-driven projects and initiatives

- Understanding the Group Governance Manual and its implications on the Business Areas and their internal controls

- Support the business areas and business functions in meeting the Group Governance Manual and Turnbull Self certification requirements.

- Carry out Assurance engagements in lead capacity. When performing assurance reviews identify and report opportunities for improvement in the functioning of business processes resulting in efficiencies.

- Use of regulatory knowledge, business understanding and expert judgement, to quickly identify underlying issues and escalate issues, where appropriate.

- Identify and report opportunities for improvement in the functioning of business processes resulting in efficiencies.

- Demonstrate ability to work as part of a team and individually with delivery and write-up of regulatory monitoring reviews on a timely basis and presentation of findings and recommendations to senior management and key business stakeholders

- Develop and enhance management information, and dashboard reporting Compliance

- Appropriate escalation and tracking of issues as they are identified

This job will involve international travel in UK, Europe, Asia and Africa, estimated at about 25% annually.

Skills Sets Required :

- 6 - 8 years of relevant experience in the areas of responsibility, delivering a broad range of financial and operational risk assurance and advisory activities.

- Worked in Asset Management Compliance functions within the Financial Services companies (BFSI sector), Big 4 Accounting/Audit Firms or Big 5 Consulting Firms.

- Ability to analyse and interpret client money and asset rules from different jurisdictions

- Strong knowledge of investment types, such as equities, fixed income or derivatives

- Excellent knowledge of the various asset types and principles of risk management in the finance industry

- Practical understanding of systems and controls in a regulated Asset Management business.

- Compliance monitoring, auditing or risk/control experience.

- Good knowledge of FCA rules and regulations

- Practical and theoretical knowledge of business risk and control frameworks and how these map to evolving regulatory requirements.

- Excellent report writing skills.

- Excellent stakeholder management and communication skills both verbal and written with the ability to communicate and influence effectively at senior levels of the business.

- Proven record of having dealt with senior executives

- The ability to judge and recognise the necessity to escalate issues effectively.

- Well organized with the ability to prioritise own deliverables effectively and adhere to deadlines.

- Team player with the ability to collaborate across teams/functions and work autonomously on projects/initiatives.

- Self-motivated with a desire to improve processes and create and maintain momentum

- Excellent Microsoft Office skills (Word, Excel and PowerPoint).

- Ability to independently undertake research, author technical papers and provide thought leadership on current and emerging risk themes and topics

- Ability to operate remotely, in a diverse and multi-cultural environment. International work or consultancy exposure would be a definite plus.