Control & Monitoring Lead Specialist (PA2024295 )

1 month ago

Basildon, United Kingdom SS&C Technologies Holdings Full time
Job Description

  • Support the onboarding process (including Due Diligence) and ongoing oversight (including Due Diligence/Attestation) of Partner firms, DFM’s and third-party product providers
  • Oversee and maintain central Registers covering:-
    • Partner Firms & Models being supported (with other appropriate detail)
    • Business Operating Model exceptions
    • Agreements/contracts in place for Partner Firms, DFM’s and Third Party Product providers
    • Regulatory and AML Due Diligence records
  • Oversee and deliver timely responses to client requests for Due-diligence
  • Business owner for the set up of new Assets to the Platform Buy List, liaising with 3rd Parties (and being Supplier BRO – Business Relationship Owner) as required & ensuring detail provided to Production Support for uploading  
  • Ensure a Business Impact assessment completed (with SMEs) for any exceptions to our standard operating models and oversee review and approvals)
  • Maintain tracking and oversight of allocated Business Initiatives and Issues ensuring owners assigned, right prioritisation and target delivery dates
  • Ensure compliance and regulatory obligations are met when introducing new clients, products or services
  • Drive and oversee agreed Audit & Compliance Monitoring items ensuring relevant and quality responses & actions owned and tracked through to completion
  • Understand all company risks (working with owners to ensure kept up to date through Risk maps/Control Matrices) and oversight/drive through of actions required to reduce the risk profile
  • Together with Operations, oversee and track the Breach and Incidents logs, ensuring actions are appropriately allocated and closed out by agreed dates
  • Ensuring processes and controls are being continuously improved by Dept Leads to ensure optimal efficiency, risk management and productivity with a complete review carried out at least annually
  • Collaborate with key stakeholders (including second line) ensuring compliance of SS&C Hubwise business operations
  • Support the legal function in in managing new and renewal contracts

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