Head of Risk and Compliance Monitoring-Investments
It is essential that you have had previous Risk experience from the Investment and or Wealth Management sectors
Once the risks have been identified, assessed and evaluated go on to implement processes and procedures to ensure that the Group is fully prepared to deal with any potential threats.
Assist business unit heads to maintain their part of the risk register ensuring that risks, potential outcomes, controls and mitigating factors are all recorded on the system and that business unit heads regularly review and update the entries.
Liaise closely with Internal Audit, Compliance Monitoring and Finance to ensure that the system meets their needs and that the system provides input to their audits/reviews and is updated with the results of their audits/reviews.
Oversee the existing Compliance Monitoring team and the review of advice and sales generally.
Extend Compliance Monitoring to include non sales and advice areas of the group. Specifically, this would include; investment management, custody and dealing, client assets, SIPP administration as well as systems and controls generally.
Initially, there is a need to devise a suitable compliance monitoring programme for non sales areas of the group and train members of the team in the appropriate way to monitor these areas
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