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Multi Asset Compliance Officer (Advisory)

Information About This Job

Job Title: Multi Asset Compliance Officer (Advisory)
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 2 months ago

Job Description

Key Responsibilities

  • Assist with the setup of a new Compliance Monitoring function within the Multi Asset Risk team

  • Help prepare and execute the risk-based Annual Compliance Monitoring Plan on behalf of the Multi-Asset (MA) business in relation to all relevant regulated corporate/business activities both in-house and external outsource providers with particular focus on FCA/CBI/ UCITS/AIF ,money laundering/financial crime regulations and industry best practice

  • Help prepare and execute the risk-based Annual Compliance Monitoring Plan on behalf of the Multi-Asset (MA) business in relation to all relevant Policies and Procedures

  • Attend reviews both UK and International in line with the Compliance Monitoring Plan

  • Help prepare and disseminate reports including findings and actions for key stakeholders, including presentations to relevant committees and boards

  • Execute the ‘due diligence’ process regarding delegated external Investment managers, both for initial take-on and annually in line with Policy

  • Build strong relationships throughout the Multi Asset business and work closely with the central Risk team and the company as a whole including Group Internal Audit

  • Identify any concerns or issues promptly and escalate through the Compliance team to resolve and support root cause analysis to prevent any reoccurrence

  • Assist with the production of other risk management information for relevant committees and boards as required

  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice

  • Support the Multi-Asset strategy, including its values, standards and policies

 

Skills & Experience

  • Good knowledge of FCA/CBI/UCITS/AIF/CASS regulations

  • Good knowledge of derivatives and their usage

  • Excellent analytical/MI skills

  • Excellent report writing skills

  • Experience of working in an asset management Compliance Monitoring team

  • Experience of asset management/investment management

  • Good knowledge of investment products and instruments including derivatives

  • Good knowledge of investment lifecycles

 

Education & Qualifications

  • Degree qualified or equivalent experience

 

Person Specification

  • Dependable                                                                                                                           

    • Act with integrity, due skill, care and diligence

    • Ensure customer outcomes are the focus of our business  and we are respected by regulators

  • Stronger together

    • Collaborate with peers  across the Organisation

    • Share openly and be transparent

    • Adopt a responsible approach

  • Pioneering

    • Maintain our entrepreneurial culture

    • Strive for continuous improvement

    • Lead by example

 

Ref: | Published: 16 May 2018