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Enterprise Risk Framework and Governance Manager

Information About This Job

Job Title: Enterprise Risk Framework and Governance Manager
Contract Type: Permanent
Location: London
Salary: £115,000 base salary
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.con
Job Published: about 1 year ago

Job Description

Enterprise Risk Framework and Governance Manager sought to assist in the growth and development of the Enterprise Risk Management Framework, specifically including support of the Senior Managers and Certification Regime in Europe, and to provide ongoing consultative assessment and internal control design services for the company's European business units.


Key Responsibilities

  • Assists in the development, implementation and ongoing maintenance of the European Enterprise Risk Management framework, standards, and policies. 

  • Support the Senior Managers and Certification Regime (SM&CR) requirements across Europe including but not limited to;

    • Maintain Responsibility Maps and Statement of Responsibilities (SOR's) 

    • Submission of SOR's to the FCA

    • SME for ensuring SMCR embedded in design and effectiveness within existing risk, compliance, legal and HR policies and frameworks

    • Maintain record keeping for the issuance of certificates

    • Update and maintain organograms and organizational Charts that reflect SM and Certification Functions

    • Working closely with Head of Risk and other Risk and Compliance owners to ensure reasonable steps framework for SMCR is demonstrated

    • Oversight of the annual fit and proper review for all

    • Senior Managers and all Certified crew

    • Facilitation of the regulatory handshake when role changes occur

    • Support crew training for both SM and Certification Functions

  • Provides guidance, training and motivation necessary to create risk and control awareness, ownership and accountability with business unit management and crew.

  • Develops effective working relationships throughout the company on a variety of risk-related issues, i.e., works closely with the department, division and executive management by assisting in the identification, assessment, mitigation, and monitoring of risks, providing education, and reporting risk management results.  Effectively utilizes these relationships to influence business unit decisions and shares best practices in assessments of business processes, products, services, and projects.

  • Follows the risk and controls assessment framework to assist both business units and projects to identify and measure risks inherent to their processes and initiatives, understand controls in place to manage risk, and identify unacceptable control gaps.  Works with business unit management and project teams to establish risk mitigation strategies, detailed control improvement plans and approaches to controls monitoring. 

  • Serves as key contact for business continuity management program (BCP). Organises and manages regular BCP recovery exercises. Facilitates and coordinates crisis exercises with key stakeholders both internal and external (e.g. emergency personnel, business continuity coordinators, IT disaster recovery coordinators, & building management, etc.) during evacuation and power down testing.  Conducts recovery site review and assessments to help ensure site readiness. 

  • Drives understanding of and accountability for business unit contingency plans to the network of business unit contingency coordinators, ensuring they have the direction, support, tools, and guidance to fulfil their roles.

  • Assists in the development of data collection, analysis, and reporting tools which enable the collation, measurement, management, and reporting of all risks across the European business.

  • Assists in the development of an effective governance framework for the European business which enables complete reporting of all classes of risks. 

  • 1Assists in the development of the Internal Capital Adequacy Assessment Process (ICAAP) for the UK Group.

  • 1Assists to drive risk aware culture throughout the European business through the development of risk management training and awareness programs for all crew. 

  • Works closely with the global risk partner community, Security & Contingency Services, Internal Audit and Compliance to identify areas for further efficiency and opportunities to drive more consistent practices. 

  • Participates in special projects and performs other duties as assigned. 


Skills & Experience

  • Advanced degree or equivalent combination of training and experience.

  • Min seven years of progressive experience in investment management/analysis, risk and control frameworks,  management, and risk and control governance

  • Experience in many fields of risk and control management including: Corporate Governance, Conduct Risk, Risk Identification, regulatory risk, fraud risk with core expertise in operational risk. Familiar with UCITS, MIFID, SMCR and other European regulatory programs.

  • Solid understanding of the Funds management industry

  • Demonstrated quantitative aptitude.

  • Excellent written and verbal communication skills.

  • Excellent analytical, problem identification and problem-solving skills.

  • Ability to motivate other within a team environment.

  • Ability to manage multiple priorities and to perform complex analyses under tight deadlines.

  • Communication and influence skills, able to navigate, persuade and build buy-in across a matrix structure.

  • Demonstrated aptitude for applying information technology solutions to address business needs.

  • Expertise in Microsoft Office applications, especially Excel.

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