Compliance Conformance Manager
Compliance Conformance Manager
Compliance Conformance Manager - Wealth Specialist
A global leading financial services provider based in Canary Wharf is looking for a Compliance Conformance Manager to join its newly established Wealth Conformance team. The new team is there to develop a market leading approach to risk assessment and control testing within the first line of defence as a result of the new Conformance Standard which articulates the need for all businesses and functions to have a risk based programme of independent assurance over financial services risks and controls.
The role will involve the planned, systematic and documented programme of conformance testing and reviews to evaluate the extent to which internal controls are operating effectively; risk is being effectively managed; and compliance with laws and regulations and the Firm’s policy and procedures has been established. The role will also assist in the development of the annual risk assessments and conformance testing plan for the wealth business
Key responsibilities include
- Lead discussions with the business based on the results of the reviews
- Develop remediation plans when issues are identified
- Identify target areas for thematic review across Wealth
- Develop relationships with senior Wealth management to ensure they understand their risks and have controls and the processes in place to manage those risks
This fantastic opportunity requires a candidate with a background in Investment Management , a good understanding of of Governance, Risk and Controls. Excellent interpersonal skills to work with Senior stakeholders to negotiate and influence effectively across the business.
Compliance Conformance Manager - Wealth Management
A global leading financial services provider based in Canary Wharf is looking for a Compliance Conformance Manager to join its newly established Wealth Conformance team. The new team is there to develop a market leading and rigourous approach to risk assessment and control testing within the first line of defence as a result of the new Conformance Standard which articulates the need for all businesses and functions to have a risk based programme of independent assurance over financial services risks and controls.
The role will involve the planned, systematic and documented programme of conformance testing and reviews to evaluate the extent to which internal controls are operating effectively; risk is being effectively managed; and compliance with laws and regulations and the Firm’s policy and procedures has been established. The role will also assist in the development of the annual risk assessments and conformance testing plan for the wealth business
Key responsibilities include
- Lead discussions with the business based on the results of the reviews
- Develop remediation plans when issues are identified
- Identify target areas for thematic review across Wealth
- Develop relationships with senior Wealth management to ensure they understand their risks and have controls and the processes in place to manage those risks
This fantastic opportunity requires a candidate with a background in Investment Management , a good understanding of of Governance, Risk and Controls. Excellent interpersonal skills to work with Senior stakeholders to negotiate and influence effectively across the business.
Hays Investment Management Compliance is a dedicated recruitment function, focusing purely on regulatory compliance recruitment within the buy-side of the market, covering Asset Management, Hedge Funds, Private Equity, Wealth Management and Private Banking. We offer a unique insight into the investment compliance market, having developed a specialist network of both clients and candidates within this sector.
For a confidential discussion on this role, other opportunities in the market or a more broad discussion about the market at present please call Abigail Vann at Hays on 02034650110.
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