- Provide accurate and timely support and advice in relation to risk and compliance related matters to support objectives and, ultimately, secure.
- The team aims to achieve its objectives by:
- providing strong independent challenge to, and robust second line of defence oversight of, the business's first line of defence functions.
- providing advice, guidance, education and training to the business, as appropriate.
- coordination and oversight of all legal and regulatory change impacting the business
- maintaining a collaborative and strong relationship with internal audit as the business's key third line of defence function.
Purpose of the Role
- Supporting the Head of Risk & Compliance by managing, implementing, developing and reporting against the Compliance Advisory Framework, risk management framework, Financial Crime Framework, and Data Privacy Framework.
- Work as part of the compliance advisory function within the Risk & Compliance Team to actively support the development of a positive compliance and regulatory risk culture across the business.
- Promote a strong compliance advisory culture within the firm by providing appropriate compliance advice, guidance and training.
- Manage the provision of effective compliance advisory assurance, oversight, guidance and support to the business, ensuring appropriate challenge to the business and senior management in respect of regulatory risk and compliance with designated regulation and/or legislation.
- Support the effective implementation of new regulatory impacts on business projects and initiatives, and appropriate oversight regarding remedial actions and business process developments.
- Provide input to the regulatory risk universe for the business.
Functional or Technical Knowledge and Skills Required
- Compliance and industry-related experience which might be of benefit to the organisation.
- Sound relevant experience primarily in the investment management sector with strong investment industry knowledge.
- Relevant undergraduate degree as well as industry qualification such as CISI Compliance Diploma (including elements on Fraud and Financial Crime), ACAMS AML and Anti-Financial Crime certifications, IAPP data protection / privacy certifications.
- Strong working knowledge of all relevant regulations.
- A track record of managing, implementing and responding positively to change and new issues in an adaptive, innovative and flexible manner and in clear consultation with other to optimise the outcomes for the organisation.