Current jobs related to Investment Governance and Risk Officer - London, Greater London - CLFIS Limited

  • Investment Governance and Risk Officer

    2 months ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job SummaryWe are seeking a highly skilled Investment Governance and Risk Officer to join our Asset Management team. As a key member of our team, you will be responsible for ensuring adherence to applicable regulation, investment policy, and client mandates.Key ResponsibilitiesConduct 1st Line monitoring activity, surveillance, and oversight to ensure...

  • Investment Governance and Risk Officer

    2 months ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job SummaryWe are seeking a highly skilled Investment Governance and Risk Officer to join our Asset Management team. As a key member of our team, you will be responsible for ensuring adherence to applicable regulation, investment policy, and client mandates.Key ResponsibilitiesConduct 1st Line monitoring activity, surveillance, and oversight to ensure...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Osmosis Investment Management Full time

    About Osmosis Investment ManagementOsmosis Investment Management is a rapidly growing asset management business focused on sustainable investing. Our mission is to provide investors with investment solutions that target better risk-adjusted returns while mitigating the environmental impact of their portfolios.Job DescriptionWe are seeking a dedicated...

  • Compliance Officer

    4 weeks ago

    London, Greater London, United Kingdom Osmosis Investment Management Full time

    About Osmosis Investment ManagementOsmosis Investment Management is a rapidly growing asset management business focused on sustainable investing. Our mission is to provide investors with investment solutions that target better risk-adjusted returns while mitigating the environmental impact of their portfolios.Job DescriptionWe are seeking a dedicated...

  • Investment Risk Manager

    4 weeks ago

    London, Greater London, United Kingdom Insight Investment Full time

    Investment Risk ManagerInsight Investment is seeking a highly skilled Investment Risk Manager to join its Investment Risk team in London. The successful candidate will provide opinion, influence, and challenge to the first line of the business to add value to the firm and safeguard client assets.Key Responsibilities:Provide and monitor risk information in a...

  • Investment Risk Manager

    4 weeks ago

    London, Greater London, United Kingdom Insight Investment Full time

    Investment Risk ManagerInsight Investment is seeking a skilled Investment Risk Manager to join its dynamic team in London. As a key member of the Investment Risk team, you will play a crucial role in providing risk information and monitoring breaches to ensure the firm's assets are safeguarded.Key Responsibilities:Conduct thorough analysis and evaluation of...

  • Investment Risk Specialist

    3 weeks ago

    London, Greater London, United Kingdom Insight Investment Full time

    Job DescriptionInsight Investment is seeking a highly skilled Investment Risk Manager to join its Investment Risk team in London. The successful candidate will be responsible for providing risk information in a timely manner, ensuring data accuracy, relevance, and reliability. This role also involves assisting with the development of global analytics systems...

  • Investment Risk Manager

    4 weeks ago

    London, Greater London, United Kingdom AXA Investment Managers Full time

    About the RoleWe are seeking an experienced Investment Risk Manager to join our team at AXA Investment Managers. As a key member of our Global Risk Management team, you will be responsible for overseeing the risk profiles of our AXA IM Select Funds and supporting our senior management in their understanding of investment risk-related matters.Key...

  • Investment Governance Specialist

    4 weeks ago

    London, Greater London, United Kingdom JJ Search Full time

    Job SummaryThe Investment Governance Specialist will play a crucial role in ensuring that investment portfolios are managed in line with regulatory standards and internal policies. This position will sit within the Front Office Risk & Control Team and will be responsible for monitoring processes to ensure adherence with key regulatory requirements and...

  • Investment Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AXA Investment Managers Full time

    About the RoleWe are seeking an Investment Risk Manager to join our team at AXA Investment Managers. As a key member of our Global Risk Management team, you will be responsible for overseeing the risk profiles for our funds and supporting our senior management in their understanding of investment risk-related matters.Key ResponsibilitiesImplementation of an...

  • Investment Governance Specialist

    3 weeks ago

    London, Greater London, United Kingdom JJ Search Full time

    Job SummaryThe Risk & Control Officer will play a crucial role in ensuring that our investment portfolios are managed in line with regulatory standards and internal policies. This position requires a strong understanding of FCA Suitability requirements and experience in a discretionary or advisory investment management environment.Key ResponsibilitiesSupport...

  • Investment Governance and Risk Management Specialist

    2 weeks ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job SummaryCanada Life UK is seeking a highly skilled professional to fill the role of Investment Governance and Risk Officer. The successful candidate will be responsible for ensuring adherence to applicable regulations, investment policies, and client mandates within the Asset Management business. This includes conducting first-line monitoring activities,...

  • Investment Governance and Risk Officer

    4 weeks ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job SummaryThis is a key role for the Asset Management business, responsible for operating the 1st Line control environment to ensure adherence to applicable regulation, investment policy, and client mandates.The role involves conducting 1st Line monitoring activity, surveillance, and oversight, and reporting the results via MI to senior management.Key...

  • Investment Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom 253 FIL Investment Management Ltd Full time

    About the OpportunityJoin our team at 253 FIL Investment Management Ltd as a Senior Manager, Investment Risk, and take on a challenging role that will test your skills and experience in risk management.This is a permanent position that requires a high level of expertise in investment risk management, including the ability to monitor risk analytics, quantify...

  • Head of Investment Governance

    4 weeks ago

    London, Greater London, United Kingdom Citigroup Global Markets Limited Full time

    Job SummaryWe are seeking a highly skilled and experienced professional to join our team as a Head of Investment Governance. This is a key role that will play a critical part in shaping the future of our organization.Key ResponsibilitiesDevelop and implement effective investment governance frameworks and processes to ensure transparency, accountability, and...

  • Senior Investment Guidelines Developer

    5 days ago

    London, Greater London, United Kingdom Insight Investment Full time

    Company OverviewInsight Investment is a leading global asset manager dedicated to crafting innovative investment solutions tailored to meet the evolving needs of our clients. With a strong focus on collaboration and expertise, we deliver exceptional investment performance while fostering growth in assets under management.Division Description:The Operations...

  • Infrastructure Investment Principal

    2 weeks ago

    London, Greater London, United Kingdom British Columbia Investment Management Corporation Full time

    Investment Principal - Private MarketsThis role is based in our London, UK office.Infrastructure & Renewable Resources (I&RR) team invests globally in infrastructure businesses providing stable long-term results.The team invests in private companies enabling active governance approach, predominantly as a sole sponsor, co-investor, or through externally...

  • Investment Governance and Risk Officer

    3 weeks ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job SummaryThis is a key role for the Asset Management business, 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 expert and value-adding risk advice in a business-focused and pragmatic way,...

  • Investment Governance and Risk Management Specialist

    3 weeks ago

    London, Greater London, United Kingdom CLFIS Limited Full time

    Job Summary We are seeking a highly skilled Investment Governance and Risk Management Specialist to join our Asset Management team. As a key member of our team, you will be responsible for ensuring adherence to applicable regulation, investment policy, and client mandates. Your expertise will be instrumental in conducting 1st Line monitoring activity,...

  • Operational Risk Management Associate

    2 months ago

    London, Greater London, United Kingdom British International Investment Full time

    About the RoleBritish International Investment is seeking a highly skilled Operational Risk Associate to join our Risk Office team. As a key member of our team, you will play a critical role in identifying, mitigating, and managing risk across our organization.Key ResponsibilitiesOperational Risk ManagementManage BII's risk register program, lead risk...

Investment Governance and Risk Officer

2 months ago

London, Greater London, United Kingdom CLFIS Limited Full time

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.

Responsibilities

• Conducting 1st Line monitoring activity, surveillance and oversight and reporting the results via MI to senior management.

• Ensuring Asset Management is effectively managing risks, providing the Asset Management business with expert and value-adding 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.

• Maintaining an in-depth awareness of the regulatory context and risk framework surrounding the Asset Management business, strategy and its customers.

Key Responsibilities

• Maintaining 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

• 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 pre-trade compliance control environment within the Order Management System. This includes the on-going development and writing of technical pre-trade 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.

• Facilitating and supporting 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 during the implementation of new regulation as well as guidance on strategic initiatives to ensure an effective 1st Line control environment. Ensure regulatory risks and issues are managed appropriately in accordance with risk appetite. Establish and maintain sufficiently effective controls and procedures, ensuring that regulatory obligations are met, weaknesses or control failures are addressed and poor customer outcomes are avoided.

• Provide 1st line risk and governance advice and support in the Asset Management business covering non-financial and regulatory compliance risk including risks to customer outcomes. This relates to both Business-as-Usual activities and change initiatives which impact Asset Management processes, controls and customer outcomes.

• Support the Asset Management business by delivering ongoing risk training and education to staff, enabling the business to integrate the risk culture into their day-to-day work processes. Continue to strengthen and embed risk awareness across Asset Management and seek to improve knowledge where gaps are identified.

Requirements

• Expert knowledge of Asset Management products and services

• Knowledge and expertise of regulations impacting Asset Management firms

• Technical knowledge and experience of regulatory and risk management frameworks

• Strong interpersonal and influencing skills, communication skills and attention to detail

• Ability to deliver under tight time pressure

• Ability to develop and maintain effective working relationships with colleagues and other business lines, including teams in the three lines of defence model

• Self-motivated, well organised, pragmatic and able to perform tasks independently

• Ability to take a risk-based approach to organising workloads for self to meet demanding and often changing priorities, ensuring that key deadlines are met

• Experience of embedding and maintaining an enterprise risk management framework

• Experience in managing and providing risk oversight activities at a business level

• Ability to present advice in a clear, timely and focused way

• Ability to develop and maintain effective working relationships with colleagues, Business Unit leadership teams and other governance functions.

Qualifications

• Degree desirable

• Investment administration or management qualification

• Professional qualification desirable