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Our client is a very well established investment wrap platform who work with Financial Advisers across the country and their clients.
Business Support & Advice:
* Lead and maintain an effective Compliance Monitoring team so that it has sufficient expertise, resource and a programme of activities appropriate for the Group's business
* Lead independent second line risk based monitoring, risk assessments, and ad-hoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and policy
* Review, refresh and deliver the annual risk based Compliance Monitoring Plan including completing risk assessments to help identify key areas for review
* Engage pro-actively with business stakeholders to influence timely and effective and proportionate remedial action in response to the outcome of monitoring activity
* Provide relevant, accurate and timely MI in a format which is clear and engaging, in particular by overseeing the preparation of the monthly Compliance Monitoring report
* Maintain an effective relationship and work collaboratively with the Internal Audit Team which includes joint planning and managing overlaps
* Contribute towards relevant internal and external consultations, discussions and policy debates and, as needed, represent the Group at industry working groups and trade associations
* Contribute to the delivery of timely and effective reporting to the Boards, Committees and Forums, Group Counsel and Head of Compliance on monitoring activity and projects
* Keep informed on regulatory developments affecting the Group and assess their impact and implement monitoring tests
* Network effectively internally and externally to ensure work is delivered smoothly internally and to be able to benchmark Group practices.
Key Performance Measures
* A Compliance Risk Assessment is carried out each year to identify the areas of focus for the Compliance Monitoring Plan
* Each test in the annual Compliance Monitoring Plan is delivered on time
* The Compliance Monitoring Reports are prepared and issued on time
* All Compliance Communications are easily understood, factually accurate, written in good quality business English, contain good signposting (headings and cross references) and are proof read to ensure minimum typos, consistent formatting and page and section numbering, accurate figures, facts and dates, descriptive headings and proper use of defined terms
Team procedures are reviewed and updated annually Education
In-depth practical knowledge and understanding of monitoring, testingor audit methodology, a strong knowledge of risk assessment methodology
A good knowledge of and ability to apply, FCA and PRA rules and guidance particularly those relating to COBS, SYSC, TCF & Conduct Risk, TC, COCON, PROD and CASS
A good knowledge of investment instruments, investment services, retail financial products and tax wrappers (pensions, ISAs)
Practical knowledge and understanding of the UK and Isle of Man regulatory environment as it relates to the financial services industry
Experience of working in a financial services audit or compliance monitoring role in investment and/or insurance
Proven track record of successfully delivering Audit work or Compliance Monitoring Programmes.