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Investment Governance and Risk Officer

3 months ago

London, Greater London, United Kingdom Canada Life Full time
Canada Life UK looks after the retirement, investment and protection needs of individuals, families and companies.

We help to build better futures for our customers, our intermediaries and our employees by operating as a modern, agile and welcoming organisation.

Part of our parent company Great-West Lifeco, Canada Life UK has operated in the United Kingdom since 1903. We have hundreds of respected and supported employees committed to doing the right thing for our customers and colleagues.


Canada Life UK is transforming to create a more customer-focused business by providing our customers with expertise on financial and tax planning, offering home finance and annuities propositions, and providing collective fund solutions to third party customers.


Job Summary

  • This is a key role for the Asset Management business which includes operating the 1st Line control environment to ensure adherence to applicable regulation, investment policy and client mandates.
  • The role is responsible for conducting 1st Line monitoring activity, surveillance and oversight and reporting the results via MI to senior management.
  • The role ensures Asset Management is effectively managing risks, providing the Asset Management business with expert and valueadding risk advice in a business focused and pragmatic way, including facilitating effective and appropriate risk management processes and MI/reporting.
  • Encouraging an appropriate risk culture, delivering fair outcomes for our customers within risk appetite. Promoting 1st Line risk ownership and accountability.
  • Facilitating an effective and balanced relationship with the 2nd Line Risk and Compliance oversight function.
  • The role holder is expected to maintain an indepth awareness of the regulatory context and risk framework surrounding the Asset Management business, strategy and its customers.

What You'll Do

Risk Framework Processes
Maintain risk framework processes within Asset Management covering full risk appetite including regulatory compliance risk:

  • Risk appetite
  • Risk event logging and reporting, including for conduct, privacy and regulatory breach risk events
  • Control inventory
  • Risk register
  • Top & emerging risks
  • Risk & Control Self-Assessment
  • Key Risk Indicator (KRI), Risk Marker and Risk Function Indicator (RFI) reporting
  • Project support and advice
  • A key output from the risk framework processes is identifying potential and drivers for poor customer outcomes or harms, and using this to develop risk approaches, mitigation and appropriate processes and controls to manage this risk.
  • Fostering a culture of awareness, openness and accountability, providing training as required, ensure the Risk Event Reporting process is easily available. Maintenance, reporting and escalation of risk and regulatory compliance processes should be in line with the ERM framework.

1st Line Control, Oversight and Surveillance

  • Under the Head of Investment Governance supervision manage the effective operation of the 1st Line Asset Management control environment, which includes relevant monitoring, surveillance activities and management of the oversight programme, to demonstrate adherence with applicable regulatory requirements.

Investment Policy and Mandate Adherence

  • Responsible for the operation of controls and monitoring activity to demonstrate adherence to investment policy, client mandates and regulatory obligations for funds under the management of the Asset Management team.
  • This includes ownership and management of an effective pretrade compliance control environment within the Order Management System. This includes the ongoing development and writing of technical pretrade rules to ensure compliance with investment policy and mandates.

Governance and functional effectiveness

  • Responsible for the production of regular reporting and MI to key stakeholders on 1st Line control monitoring and oversight activity. Key stakeholders include senior management, 2nd Line Risk and Compliance, clients, relevant CLUK Committee's and the CLAM Board.
  • Responsible for preparing reports on the Asset Management risk framework and presenting these at appropriate forums, including the Risk Oversight Committee and Customer Outcomes and Fund Governance Committee.
  • Facilitate and support the embedding of and annual attestation to applicable policy requirements, including relating to conduct, consumer duty and regulatory compliance by reviewing and guiding responses, ensuring that policy gaps with respect to changes in the functions profile/operations/strategy/regulatory compliance is communicated and understood by the Policy Owner.

Advice and Risk Management

  • Based on knowledge of the strategic goals and commercial context of Asset Management, champion the 3 Lines of Defence model for risk management across the Asset Management business.
  • To provide high quality, technical expertise and guidance to Asset Management on existing regulation and duri