Assurance Officer Asset Manager (Would suit Audit or Operational Risk background)

  • £Market Rate
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Saxton Leigh
  • 23 Apr 18 2018-04-23

Our client is an institutional asset manager who specializes in Emerging Markets. They are currently looking to hire an experience person to oversee their assurance program.

THE COMPANY:

Our client is an institutional asset manager who specializes in Emerging Markets.

THE RESPONSIBILITIES:

  • 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 business.
  • 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.

EXPERIENCE REQUIRED:

  • Audit or Operational Risk experience gained within an Asset Management environment.
  • Proven experience of liaising and influencing stakeholders.