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Risk & Control Officer , Front Office Investment Management , Governance

1 month ago

London, United Kingdom JJ SEARCH LTD Full time

SALARY: 50-65K


The Client

Our client is a highly successful Investment Management firm.


The Role

The Risk & Control Officer will sit within Front Office Risk & Control Team and will help ensure that positive client outcomes are being achieved, and that investment portfolios are being correctly managed in line with regulatory standards and internal policies.


The Risk & Control officer will support the upkeep of the Front Office Risk & Control team’s monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.


The Risk & Control officer will support the production and ongoing development of effective Front Office MI / KPIs to monitor ongoing competence and to demonstrate that the right client outcomes are being achieved.


Support the resolution of any breaches of Investment Management client mandates and support production of periodic reports to Boards and Committees as required.


The Risk & Control officer will act as a key contact for first line Investment Suitability matters and will share best practice with teams within the Front Office and the wider business, including Risk & Compliance.


The Risk & Control officer will support the delivery of key Front Office Risk & Control initiatives.


The Risk & Control officer to coordinate and provide Suitability related training for the Wealth Management company.

The Candidate

2-3 years experience within Front Office Risk / Portfolio Risk / Front office Business Risk / Front Office Governance.


Investment management / Wealth Management business background.


Strong knowledge and application of FCA Suitability requirements


Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.


Awareness of the current financial services environment and relevant industry or professional Compliance qualification.


Investment focused - good understanding of client investment needs; a working knowledge multi asset classes.


Strong interpersonal skills to work with the Front Office and teamwork


Self-confident and able to influence effectively / Self-motivated.