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A leading and one of the largest investment managers in the UK
The Front Line Governance Analyst will have the responsibilities of:
To support the activities of the Business Standards Team and the Head of Front Office Policy and Framework through undertaking risk analysis and other desk based monitoring methods to monitor the activities across the business' Front Office activities covering both Investment Management and Financial Planning.
A good working knowledge of conduct risk matters, Investment governance arrangements and relevant regulations, particularly (but not limited to) COBS, CASS and SYSC will be required.
To role will also support and champion the adoption of a new policy, process and controls, using key control metrics and business MI to identify risk and recommend proportionate remediation, including the provision of training requirements or process and control improvements. All of which will contribute to improved governance and culture within the front office.
Conduct monitoring activities in relation to front office using a combination of regular monitoring, exception based monitoring, thematic review work
Review and testing effectiveness of existing controls
Review and recommendation of policy and procedures enhancements
The successful Front Line Governance Analyst will have:
Demonstrable experience of Wealth Management
Demonstrable track record in compliance monitoring/ compliance policy or operational risk.
Experience in communicating and working with Front Office
A competitive package
Internal Number: 5877516
About Michael Page Financial Services
eFinancialCareers is a career site specializing in financial services.