Regulatory Compliance Oversight Investment

2 weeks ago

London, United Kingdom eFinancial Careers Full time

Our client is one of the world's largest and most prestigious Asset and Investment Management institutions. The opportunity has arisen, initially on a 1-year interim basis, Regulatory Compliance Oversight Associate with a background in Investment Management/ Funds.This is a 1-year temporary role with the likelihood of permanent employment thereafter. The successful candidate will have knowledge and experience with UK Investment regulations (E.g., EBA) and a background in an oversight/governance function suchas compliance/risk/internal audit.THE ROLE: Regulatory Compliance Oversight Investment Management Maintain the Outsourcing Register and co-ordinate reporting on FCA requests for the group Conduct the ongoing entity level due diligence of the UK entities' intra-groupservice providers Co-ordinate ongoing service level due diligence of the intra-group service providers engaged by the UK entities Maintain and review the relevant policy and procedure documents governing the UK entities' outsourcing arrangements and ensurethe global framework continues to satisfy UK requirements Work with the relevant functional teams to carry out the 'criticality and importance' classification of each outsourcing and ensure its accurate reflection in all relevant systems, documents, etc. SupportEMEA Head of Governance on researching and capturing best practices in governance, oversight, and related areas as these evolve in the UK Prepare/review reporting and other required materials for Board Committee meetings etc. Support wider projects on delegationand outsourcing and become an EBA Outsourcing SME point of contact SKILLS / EXPERIENCE REQUIRED: Regulatory Compliance Oversight Investment Management 3-5 years of prior relevant experience in the UK investment funds industry/business Experience in a control/oversightfunction such as Audit, Risk or Compliance Working knowledge of the European Banking Authority ("EBA") Guidelines on Outsourcing (the "EBA Guidelines") is preferred Some Project Management skills (Experience of regulatory change projects is preferred) Stronganalytical, organisational, and planning skills with a keen eye for details

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