Monitoring & Supervision Associate – Asset/Fund Manager
A well established and highly successful Asset/Fund Manager are seeking to recruit a Monitoring & Supervision Associate to work closely with the Business Risk Director.
Reporting in to the Business Risk Director, you will be part of a department which is responsible for the oversight and supervision of the discretionary business and provides guidance, advice and support on a range of wealth management areas.
You will be responsible for:
- Undertaking and executing a significant part of the monitoring plan to ensure compliance with internal policies and procedures.
- Acting in an advisory capacity to the business by fielding questions and proactively advising the business on compliance related issues and queries
- Identifying areas which require further review, making recommendations or identifying potential resolution where appropriate
- Reviewing of new account documentation and monitoring of existing processes and procedures
- Identifying and reporting weaknesses in existing and recently implemented policies and procedures
- Challenging current processes and policies with the view to improve and make these more efficient
- Contributinh to an effective and positive risk management culture at the firm
- Implementing and understanding the regulatory environment and any changes communicated by Compliance
- Relevant Compliance or Risk experience, ideally gained in an Asset Management or Wealth Management environment
- Knowledge of FCA rules (COBS, TCF) governing the Asset Management or Wealth Management space
- Be confident in dealing with senior stakeholders
- Have excellent organisational, communication and presentation skills
- Have the ability to work under pressure whilst managing multiple and conflicting deadlines