Compliance Risk Manager

1 week ago


Hybrid, United Kingdom Austin Andrew Ltd Full time

Job Summary

Austin Andrew Ltd is seeking a highly skilled Compliance Risk Manager to join our team. As a Compliance Risk Manager, you will be responsible for managing all front office system related alerts and rules, as well as other key activities.

Key Responsibilities

  1. Front Office System Oversight and Management
  2. Wall Crossings and Front Office System List Updates
  3. Pre and Post Trade Alert Analysis
  4. Regulatory Disclosures
  5. Front Office System Rule Coding for New Accounts and/or New Investment Guidelines
  6. Change in Control Process

Regulatory Responsibilities

  1. Compliance with Senior Managers and Certification Regime
  2. Adherence to Conduct Rule
  3. Proactive Steps to Keep Up to Date with Regulatory Updates
  4. Open and Transparent Communication with Clients
  5. Client Interests as a Priority

Risk Management

  1. Awareness of Risks to the Firm and its Clients
  2. Clear Communication of Changes in Risks
  3. Management of Risks and Involvement of Line Management and Chief Risk Officer

Requirements

  1. Number of Years in Asset Management or Comparable Financial Services Roles
  2. Technical and Practical Expertise in Front Office Systems
  3. Knowledge of ALADDIN Highly Beneficial

Work Arrangements

Candidates will be expected to be in the office for three days per week. Remote working and work-at-home options are available for this role.


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