Monitoring Advisor - Compliance - London

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Aviva Investors
  • 07 Feb 18 2018-02-07

Monitoring Advisor - Compliance - London

The Role

We are looking for a permanent Monitoring Advisor to join our Risk and Compliance Function in our London Head Office.

The Team

The Compliance function operate independently and, amongst other things, monitor and assess the adequacy and effectiveness of policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under the regulatory system, and the actions taken to address any deficiencies in the firm's compliance with its obligations.

Responsibilities

  • Primarily responsible for leading/execution of second line risk-based surveillance to confirm that first line controls in respect of order authorisation and execution processes, market abuse prevention and ethical conduct are operating effectively.
  • Support the team in independent second line risk-based planned themed reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and AI or Aviva Group policy.
  • Contribute to/or produce well-written, coherent and succinct reports of reviews, which are appropriate for circulation to senior stakeholders.
  • Establish and maintain constructive relationships within relevant business areas whilst retaining the ability to challenge people of all seniority.
  • Build strong relationships with and provide support to other Compliance team members, locally and globally.
  • Support head of monitoring and other senior Compliance staff in ad hoc investigations

Requirements

Essential:

  • Degree qualified
  • Relevant compliance monitoring experience preferably gained within asset management
  • Good knowledge of the regulatory environment and asset management
  • Strong affinity with relevant technology and systems
  • Excellent communication skills, both written and oral
  • Good analytical skills
  • Self-starter, proactive , committed, organised and attention to detail
  • Able to deal with a heavy workload and managing a broad range of tasks at the same time
  • High degree of discretion and confidentiality in dealing with sensitive information.

About us

We are proud to be a different kind of asset manager; our intelligent and innovative solutions are based entirely around our clients' needs, not ours.

Aviva Investors is a global asset manager with expertise in real estate, fixed income, equity, multi-asset and alternative investments. We are proud to stand out in our field as our intelligent solutions are based around our clients' objectives, not ours.

Inclusion and diversity

We are a global organisation with thousands of employees and customers from different cultures. We've built our approach to inclusion and diversity on the principles of respect, valuing differences and inclusion.

One of Aviva's core values is Care More, and this is bought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies. What's important to us is that you are supported to do the best work of your life.

You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.