Assurance Officer - Asset Management
- Up to £80,000 pa
- London, England, United Kingdom London England GB
- Permanent, Full time
- Saxton Leigh
- 15 Mar 18 2018-03-15
Our client is a Medium sized Asset Manager based in the West End of London. They are currently looking for an Assurance Officer to sit in the Legal/Compliance/Risk department.
Assurance Officer – Compliance Department
My client is a Medium sized Asset Manager based in the West End of London. They are currently looking for an Assurance Officer to sit in the Legal/Compliance/Risk department.
- To perform in depth Assurance Reviews (ARs) and Adequacy Assessments (AAs) dependent upon the Compliance and Assurance Risk score and as mandated by the CRO or the Risk Management Committee.
- To maintain the Compliance and Assurance Risk Scoring System to ensure oversight activities are aligned with existing and emerging risk exposure within the firm
- Assist in maintaining and monitoring the Compliance and Assurance framework.
- To assist with legal, regulatory and compliance issues in relation to the business, funds and separate account clients.
- Work with the Compliance Manager to review and maintain the Compliance and Assurance Risk Scoring System (CARSS).
- Propose and seek approval of future ARs and AAs from the Compliance Manager and the Risk Management Committee based on CARSS outputs.
- Complete the ARs and AAs as proposed in the annual Compliance and Monitoring Programme.
- Follow-up on actions and recommendations which resulted from the ARs and AAs.
- Assist with the performance and enhancement of the Compliance Monitoring Programme (including testing, report production and ensuring completion of any necessary corrective action).
- Work closely with Risk and Compliance to ensure the Risk Matrix, Compliance Monitoring Programme and CARSS are harmonised.
- Provide support to the rest of the Legal, Compliance and Risk team as required.
- FCA Principles for Businesses and SEC Enforcement Priorities – when performing role, have regard to the need for the company to comply with the FCA and SEC regulations at all times.
- Ensure that all activities undertaken in the performance of the role comply with the relevant requirements of the company’s Compliance Manual and the Code of Ethics.