Support the activities of the Risk & Compliance team and champion the embedding of a compliance awareness culture throughout the business.
Manage the activities of any Senior Associate (s)/Associate (s)/Contractor(s) directly reporting to the Assistant Director to ensure deliverables are produced to a high standard, consistently meeting set deadlines to deliver.
Facilitating and assisting with the documentation of RCSAs performed by the business.
Overseeing the management of Operating Events and Issues.
Undertake end to end process reviews as required.
Challenge and develop the Risk Management Framework, Operational Risk Management Framework and Policy Management Framework.
Proactively seek opportunities to develop business and technical knowledge, sharing with others, to drive continual team development.
Oversee testing for annual AAF assurance and liaising with auditors as required.
Attend and actively participate in relevant Committees relating to the regulated business to drive delivery and change.
Support the Head of Operational Risk and Head of Risk Governance in strategic initiatives and deputise at relevant meetings as appropriate.
Liaise with and provide assistance to Group Internal Audit, Project Managers and other parts of Risk and Compliance in matters related to Operational Risk which affect business activities.
Experience in financial service industry and good understanding of the Investment Management industry.
Relevant experience in a role requiring knowledge of UK Regulation
Experience or managing others in a regulatory role in financial services.
In depth knowledge of relevant regulations such as CASS, Best Execution and Transaction Reporting, legislation and processes to guide business areas and team members
For further information please contact Stuart Duncan
Internal Number: 5206635
About Saxton Leigh
eFinancialCareers is a career site specializing in financial services.
BACK TO TOP
NAGC Career Center is Just One of the Benefits.
Discover what else NAGC Membership has to offer!
The job you are trying to reach from was originally posted at NAGC Career Center.