Investment Governance Specialist

3 weeks ago

London, Greater London, United Kingdom JJ Search Full time

Job Summary

The 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 Responsibilities

  • 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.
  • 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.
  • Act as a key contact for first line Investment Suitability matters and share best practice with teams within the Front Office and the wider business, including Risk & Compliance.
  • Support the delivery of key Front Office Risk & Control initiatives and coordinate Suitability related training for the Wealth Management company.

Requirements

  • 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.

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