Compliance & Legal
|Salary:||£70000 - £75000 per annum + 6 MONTH CONTRACT|
|Job Published:||about 2 years ago|
Investment Risk - Technical Support
£75000 pro rated - 6 month contract
Leading investment management firm with offices throughout the UK.
SKILLS AND EXPERIENCE REQUIRED
- Experience of business transformation through changing regulatory standards. Broad experience of working with investment managers providing oversight over suitability / investment risk.
- Deep knowledge of suitability and regulatory issues, with experience regarding suitability improvement projects.
- Advanced knowledge of portfolio construction and experience in Discretionary Investment Management.
- University Degree and professional qualifications relating to Investment Management / Financial Advice preferred.
- Well-developed Excel / Office skills and very high standard of writing business reports.
- Ability to articulate complex issues in simple language.
- Able to manage relationships, collaborate and influence.
- Able to communicate effectively and quickly establish credibility with employees at all levels of the organisation.
- Able to train Investment Managers on suitability and portfolio management rules / best practice.
- Self-starter - able to work under own direction and use initiative.
Reporting to the Investment Risk Executive managing the Quality Control team (Suitability Manager), who reports to the Head of Investment Process & Risk, you will contribute to the comprehensive analysis of investment management activities, enabling the company to evidence suitability. This is a new role based within Investment Risk as part of a complex and strategic programme to improve the assessment of suitability and portfolio management standards for clients of this investment firm. This role may work closely with Front Office teams and should be a Subject Matter Expert in Suitability and Portfolio management / monitoring. As an additional priority, the individual will need to become a Subject Matter Expert in the integration of a recently acquired wealth manager, particularly with regard to the Investment Risk and Suitability Work-stream. The person should take a key role supporting the definition and implementation of suitability and portfolio management / monitoring standards and the application of related controls. The role holder should be able to analyse efficiencies and propose appropriate processes to be implemented, acquired company and the combined firm. You will be required to support Investment Risk to develop, implement and monitor a stronger suitability quality culture and to improve portfolio management standards. Also to collaborate with the Suitability Manager to address identified quality gaps. The role is likely to include visits across all the company's locations in the UK. Responsibilities will include the following:
- Integrate and work with all parts of the Investment Risk department as and when required. This includes suitability Quality Control, Investment Risk (reporting, review work and controls) and Performance.
- Interpret and advise on suitability regulatory processes. The individual is required to assess and integrate processes and procedures related to Front Office.
- Assessment of processes, quality assessments and reporting models regarding suitability and other activities within the Investment Risk area.
- Attend, contribute to and challenge forums when required.
- Take part in the communication of feedback to Front Office regarding suitability standards and portfolio monitoring.
- Work with regional offices, stakeholders and business SMEs to identify and ensure progress towards goals.
- Work with the front office as required in order to help improve suitability and portfolio management standards across the business.
- Define and write high quality business reports when required or under own initiative and, when deemed necessary, in conjunction with the rest of Investment Risk.
- Continuously collaborate in finding ways to enhance operational processes.
- Build trusting relationships with internal stakeholders by consistently delivering what is required. Stakeholders may include Front Office, Compliance, L&D, other members of the Investment Risk Team and Senior Management.
- Serve as a liaison between business areas to ensure that the suitability and portfolio management requirements are clearly communicated and understood as a key priority for Rathbones.
- Support the Suitability Manager and other parts of Investment Risk to achieve objectives; resolve issues within their remit.
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