Head of Investment Compliance and Product Governance

Black Swan Associates Limited
London (Greater)
£80k - £120k pa
11 Nov 2017
16 Nov 2017
Contract Type
Full Time
My client is one of the UK's foremost Private Wealth Management firms, working with HNW Individual Investors, Pension Funds and Charities. They have 30 offices in the UK and have a long history and established reputation.

The firm is looking for a candidate from a Product/Investment Risk Oversight background to join them as a Head of Product and Investment Risk to join their wider Risk and Compliance team. This role will report into the Head of Policy.

Candidate Responsibilities:

* Lead provision of challenge and oversight on the firm's Product Offerings and Investment Services across Investment Management and Financial Planning across the entire firm
* Provide Risk and Compliance Approval on all new Product Offerings and Service Lines
* Performance of Investment Risk and Performance monitoring and analysis as a second line of defence and reporting of investment portfolio metrics
* Providing analysis of product and service related regulatory initiatives and providing guidance on these requirements to ensure compliance, as well as identifying upcoming Product Risks
* Challenge and oversee risk monitoring tools, providing guidance in relation to frameworks and overseeing research to provide appropriate governance
* Assist in development of product and Investment strategy, while working closely with senior stakeholders to ensure Investment Governance frameworks are appropriate
* Assist the CF10 on all activities and interpretation of MIFID II

Candidate requirements:

* Extensive and credible experience in Product and/or Investment compliance/oversight roles
* Prior experience in and in-depth knowledge of the Wealth Management space
* Previous experience in Investment Research related remits as well as experience dealing with regulators

To apply and/or for more information please contact with Joshua Grant-Butler on [Phone number removed] or email [Email address removed]
This job was originally posted as www.jobsite.co.uk/job/959517229