Job Description

In this role you will provide the Adviser business, Senior Management and Boards with appropriate management information and reporting to ensure each has the necessary information to fulfil related senior management responsibilities, whilst ensuring activities are carried out in accordance with all legal and regulatory requirements and guidance.

Other responsibilities will include:

• To receive, review, advise, approve and where appropriate challenge Adviser Vector 1LoD concerns. Including, those relating to higher risk clients/activities and any Policy/Standards waiver or exception requests, prior to any required escalations and referrals to the Global Head;
• Identifying and raising issues which do not follow law, regulation, policies, standards and risk appetite, and working with Vector and Senior management to ensure timely remediation of company related matters;
• Ensuring the 1LoD is made aware of, and puts in place, robust and timely plans to address deficiencies identified. Where appropriate, reviewing action plans and artefacts to provide relevant levels of assurance over the effectiveness of such activities;
• To work with the Risk identification and Control Lead to ensure that 2LoD operational processes are designed to capture and mitigate the risks inherent within the Adviser Vector. Including, measures relating: screening, transaction monitoring and risk assessments;
• Ensuring that  colleagues are kept up to date with changes where these have a bearing on systems and controls, to ensure these are appropriately addressed by responsible functions within the global Team;

Required Knowledge, Skills, and Abilities

• Degree qualified or equivalent professional experience
• ICA Diploma or equivalent preferred
• Extensive experience of the provision of AFC advisory services and/or supervising AFC activities at an Investment manager, ideally providing an investment platform.
• Detailed knowledge of AFC laws, regulations, guidance and industry standards within a regulated asset/investment management environment, including experience of UK financial crime regulatory requirements and knowledge of the Joint Money Laundering Steering Group (JMLSG) and the Money Laundering Regulations (MLR)
• Excellent written, verbal and interpersonal skills
• Track record of providing valued advice and guidance of AFC matters.
• Desire to innovate and identify and implement systems and controls that manage to risk as well as regulation