Risk and Compliance Officer

4 weeks ago

City of London, United Kingdom Pinnacle Investment Management Group Full time

About the CompanyPinnacle Investment Management Group Limited (ASX:PNI) is a leading Australian-based multi-affiliate investment management firm. Our mission is to establish, grow and support a diverse stable of world-class investment management firms.The RoleLead by the Head of Risk & Compliance UK, Pinnacle’s London Risk & Compliance team is responsible for the delivery and continual improvement of the governance, risk & compliance (GRC) framework across the Group.Key ResponsibilitiesProviding accurate, timely, practical and commercial governance, risk & compliance advice across the Pinnacle business and its Affiliates;Helping to develop, implement, maintain and monitor Risk Frameworks, Compliance Plans, policies and procedures;Effective engagement across the business and industry to identify emerging risks and ensuring early escalation of issues;Assisting with regulatory interactions such as licence applications/variations, reporting, SMCR, breach notifications and various ad-hoc requests;Assisting with Board, Committee and Management reporting;Investment Compliance Monitoring for UCITs and other vehicles.Compliance monitoring for clients on a daily/monthly/quarterly basis;Analysing regulatory developments for their impact on Pinnacle and its affiliates;Assisting in completing routine surveillance testing, escalating and resolving identified issues;Providing advice and guidance to the Distribution team on marketing, cross border activities, and other relevant topics; Assisting in responding to client Due Diligence requests, and meetings; Managing and maintaining associated risk and compliance registers, such as incidents & breaches, complaints, training, related party transactions, conflicts of interest, and risks registers;Carrying out additional duties as assigned including ad hoc product involvement as the need arises.Desired Skills and Experience:To be considered for this opportunity, you should have:8 or more years’ experience in risk and/or compliance within investment management;Excellent understanding of the Investment Management industry;Good knowledge of Equities, Fixed Interest, FX and ETF’s, knowledge of ETD and OTC derivative instruments an advantage;Experience of general regulatory compliance duties an advantage; Good understanding of current and proposed FCA and EU regulatory requirements an advantage;Analytical and problem solving skills;Good planning, organisational and prioritisation skills;Highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels;A focus on placing the interests of Pinnacle’s Clients first and always acting in accordance with TCF (Treating Customers Fairly) principles;Understanding of regulations relating to ICAVs an advantage;Exemplary integrity, ethics, professionalism and resilience.

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