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Internal Controls Manager, Investment Management

Information About This Job

Job Title: Internal Controls Manager, Investment Management
Contract Type: Permanent
Location: London
Industry:
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: about 1 year ago

Job Description

We are seeking an Internal Controls Manager to join a leading asset management firm in London.

 

 

About The Company

The company is a leading independent global asset manager, dedicated to delivering the best outcomes for clients through a highly diversified range of actively-managed products.

The company supports individual and institutional investors across a range of products, encompassing equities, fixed income, multi-asset and alternatives.

The company operates as a team of independent and innovative thinkers who work tirelessly to help clients achieve their goals – and do it by fostering an energetic and collaborative culture that ensures it’s people love the place they work.

 

 

About The Role

Investment Management incorporates the firm’s Fixed Income, Equities, Multi-Asset and Alternatives departments, as well as the Trading and Investment Services teams. Together, these businesses and teams are responsible for all fund management and investment strategy on behalf of clients.

The post holder supports the Chief Investment Officer, Global Head of Fixed Income, Co-Heads of Equities and the Global Head of Front Office Services, also known as the Investment Management leadership team (“the leadership team”) to support and maintain an effective governance framework within the Investment Management department.

The post holder is responsible for the ongoing administration and oversight of the Investment Management governance arrangements i.e. the committees, forums and processes which ensure that risks inherent to the department are managed in line with the department’s risk appetite.

The role provides opportunities to actively engage with and support a broad range of stakeholders at all levels globally and as a result broaden relationships and partnerships across different functions within the business.

 

Key Responsibilities

Program Management

  • Represent the needs of IM senior leadership team in designing risk metrics and frameworks

  • Build and implement framework for supporting senior management under SMCR

  • Further development of the Side-by-side monitoring program

  • Implement, in partnership with others, improvements in Cash Management and the build-out of SEC Liquidity rules

  • Seek ways to embed technology in our risk monitoring and mitigation processes

 

Governance Administration

  • Support the leadership team in the ongoing maintenance of the governance arrangements in place across the business units and, where applicable, support the business to establish new and/or enhanced governance mechanisms to escalate, oversee and manage the risks inherent to the department activities.

  • Provide secretariat support to the meeting Chair(s) i.e. meeting materials preparation, collation and distribution, meeting minutes production, tracking of actions, documentation of decisions and escalations, maintenance of terms of reference/charters.

  • Attend governance meetings, where applicable and requested to do so, to provide analysis and inputs to contribute to the discussions and decision making process.

  • Maintain the governance records (meeting packs, minutes etc…) on the central repository for all Investment Management Committees and Forums.

  • Coordinate the answers to RFP requests related to the Investment Management governance arrangements.

  • Provide ad-hoc training e.g. to new committee / forum members on the governance arrangements within the Investment Management department and their expected role and responsibilities.

 

Management Information & Reporting

  • Coordinate the implementation and maintenance of key indicators / Management Information to equip the leadership team with tools and mechanisms e.g. dashboards enabling a proactive assessment and monitoring of risk exposures vs. the department and/or firm’s risk appetite statement.

  • Coordinate the collation and documentation of Management Information / Key Indicators relevant to the Investment Management department and quality check the information provided to support insightful reporting to the leadership team.

  • Regularly monitor and, where applicable, escalate any concerns regarding increases in risk exposures and potential risk appetite breaches. Where appropriate, support the leadership team in the articulation of remediation plans/actions.

  • Provide key indicators commentaries to support the reporting of the risk appetite dashboard to the Board Risk Committee.

  • Prepare the leadership team for interactions with regulators and Boards including the production of ad-hoc reports/papers as required.

 

Internal Controls Management

  • Coordinate the globalization of policies and procedures owned by Investment Management employees, liaising with the Compliance and Enterprise Risk teams where necessary; where applicable create/refresh new/existing policies and procedures.

  • Coordinate the quarterly refresh and annual delivery of the Investment Management Risk and Control Self Assessments (RCSAs), working closely with the Enterprise Risk team.

  • Support the leadership team and their direct reports in the articulation and documentation of issues and actions required to reduce risk exposures or improve processes where applicable e.g. after the discovery of a risk event / trade error.

  • Support the leadership team and their direct reports in the remediation of issues by providing help and, where applicable, articulate business case to request additional resources e.g. project budget, temporary resource.

  • Support the leadership team in the documentation of risk acceptances and manage their renewal or closure thereafter.

  • Review and provide comments/challenges on the scope and findings of internal audits, risk deep dives and control testing reviews.

  • Act as overall Business Continuity Coordinator for the Investment Management department and support the Head of Business Continuity in the implementation of a comprehensive and effective business continuity management framework within the department.

 

Key Relationships

  • Chief Investment Officer

  • Global Head of Fixed Income

  • Co-Heads of Equities

  • Global Head of Fixed Income Trading

  • Global Head of Equities Trading

  • Global Head of Investment Services and team

  • Fund Management / Trading teams

  • Enterprise Risk and Compliance teams

  • Internal Audit team

  • Infrastructure teams e.g. IT, Operations etc.

 

Skills & Experience

  • Maintain knowledge of regulatory developments pertaining directly to the investment function, as communicated by the SEC, FCA, ESFS/ESMA and ASIC.

  • Educated to degree level with relevant industry experience (10+ years).

  • Professional qualification preferred but not essential e.g. IMC, CFA, CISI.

  • Very good understanding of the financial services industry; asset management experience preferred.

  • Good understanding of risk management methodologies and techniques.

 

Key Competencies

  • Very good planning, analytical and problem solving skills.

  • Excellent stakeholder engagement skills and ability to effectively network, influence and maintain relationships.

  • Very good writing and verbal communication and ability to adapt delivery style to various audiences.

  • Pro-active and self-sufficient with ability to escalate where appropriate.

  • High standards of delivery and very good presentation skills.

  • Ability to explain and simplify complex concepts and methodologies.

  • Ability to be resilient and stay motivated under pressure or facing tight deadlines.

  • Ability to multi-task, prioritise and meet deadlines.

  • Willingness to continuously learn and develop oneself to maintain industry and technical knowledge.

  • Pragmatic, with a business oriented approach.

 

Compliance Requirements

At a minimum the role requires the individual to:

  • Place the interest of Clients first and always act in accordance with TCF (Treating Customers Fairly) principles.

  • Understand and comply with any federal, state, and foreign laws and regulations applicable for the role, and seeking the guidance of Compliance if this is unclear at any time.

  • Understand and comply with all relevant policies applicable for the role, and seeking the guidance of the relevant policy owner if this is unclear at any time.

           

 

 

 

 

 

 

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