of Operations and Regulation
(Our Ref AL958)
Salary and flexible working hours will be considered (minimum of 3 days per week)
client is seeking an experienced professional, ideally having worked in Asset
Management, to be responsible for the effective and efficient running of
operational and financial matters, with specific compliance responsibility
within the business.
role will support and advise the Board in managing and developing long term
plans for the business which will include oversight of operational risk,
development of risk mitigation strategies and responsible for countering
financial crime risk.
review and assess the firms activities to assess compliance and operational
risk whilst proactively leading on and building technical compliance
advice, guidance and support to the Board and staff on compliance, finance and
the firms activities to ensure compliance with all relevant FCA regulations
involving the introduction of policies, systems and controls delivering
training and conducting ongoing compliance monitoring and reporting.
and transaction of all regulatory reporting to FCA (via Gabriel and Connect
Compliance Monitoring Program ensuring findings from monitoring are actioned in
a timely manner.
and updating of internal ICAAP process, oversight of financial reporting.
complaints handling process, investigating and resolving complaints arising.
for the MRLO function within the business and provide guidance and expertise in
relation to operational risk.
cyber risk resilience by understanding the changing developments in relation to
cyber risks, IT and digital technology.
Skills and Competence
of industry regulations, particularly in relation to the operation of
Collective Investment Schemes.
an analytical approach to operational problem solving and decision making.
experience as a key influencer at board level, with the ability for long term
strategic thinking and application.
to interpret, understand and communicate legal and regulatory rules and
developed communication and influencing skills and an ability to converse with
stakeholders at all levels.
least 3 -5 years experience in a senior role, preferably with Compliance and
Finance experience in an Asset Management business.
written and verbal communication skills.
Skills and Competence
level education (Finance, Law, Business, Mathematics).
Investment Administration Qualification.
professional qualification (e.g. ICAEW, Legal qualification).
If this role is of interest,
please apply with an up to date CV. We
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