Ad Idem Consulting

Business Compliance Director - Global Investment Manager

Responsibilities:

• Support and advise Risk, Compliance, Client Management, Investment Team, Operations, and Legal regarding the impacts of new relevant laws, regulations, and compliance and other risks which impact the business, and advise the Front Office accordingly.
• Ensure policies, procedures and processes are drafted or amended, periodically reviewed, and up-to-date.
• Ensure that all regulatory tracking (PEP, PDMR, Transaction Monitoring CPD, SPS etc) is up-to-date and managed to minimize risk to the business.
• Project manage identified issues through to scalable, efficient and, where possible, systematised solutions.
• Raise, monitor and maintain all the Compliance and Internal Audit recommendations.
• Provide guidance to Relationship Managers on the collation of Client Due Diligence (CDD) and Risk Assessments.
• Approve all standard risk accounts and sign off the files.
• Attend fortnightly Risk & Compliance meetings, monthly Risk & Controls Committee meetings and quarterly Risk & Compliance Committee meetings.
• Prepare Combined Risk Assessment and liaise with Risk & Compliance on recommended updates.
• Review existing product governance assessments of funds and models.
• Undertake flash testing on areas of higher risk, where appropriate
• Maintain and develop Management Information (MI) for senior management and Risk & Controls Committee. This includes AUM reporting by client type, Outliers reporting, and client-at-risk reporting as well as progress updates on new initiatives.

Qualifications and Experience:

• Educated to degree level.
• 10 years plus experience in the Financial Services Industry including extensive private client investment management and risk & compliance experience.