The Opportunity:
 
Our Fintech client is looking for a Control & Monitoring Lead Specialist with experience in Financial Planning/ Wealth Management and Investment Platforms.
 
Responsibilities:
 

• Support the onboarding process (including Due Diligence) and ongoing oversight (including Due Diligence/Attestation) of Partner firms, DFM’s and third-party product providers
• Oversee and maintain central Registers covering:-

– Partner Firms & Models being supported (with other appropriate detail)
– Business Operating Model exceptions
– Agreements/contracts in place for Partner Firms, DFM’s and Third Party Product providers
– Regulatory and AML Due Diligence records

• Oversee and deliver timely responses to client requests for Due-diligence
• Business owner for the set up of new Assets to the Platform Buy List, liaising with 3rd Parties (and being Supplier BRO – Business Relationship Owner) as required & ensuring detail provided to Production Support for uploading  
• Ensure a Business Impact assessment completed (with SMEs) for any exceptions to our standard operating models and oversee review and approvals)
• Maintain tracking and oversight of allocated Business Initiatives and Issues ensuring owners assigned, right prioritisation and target delivery dates
• Ensure compliance and regulatory obligations are met when introducing new clients, products or services
• Drive and oversee agreed Audit & Compliance Monitoring items ensuring relevant and quality responses & actions owned and tracked through to completion
• Understand all company risks (working with owners to ensure kept up to date through Risk maps/Control Matrices) and oversight/drive through of actions required to reduce the risk profile
• Together with Operations, oversee and track the Breach and Incidents logs, ensuring actions are appropriately allocated and closed out by agreed dates
• Ensuring processes and controls are being continuously improved by Dept Leads to ensure optimal efficiency, risk management and productivity with a complete review carried out at least annually
• Collaborate with key stakeholders (including second line) ensuring compliance of business operations
• Support the legal function in in managing new and renewal contracts

 
Your Qualifications:
 

• Experience in compliance monitoring, internal audit or a similar oversight role with a solid knowledge of regulatory processes & requirements within the wealth/investment management sector.
• Detailed knowledge of UK regulatory requirements
• Great communication and listening skills.
• Ability to work unsupervised with minimal guidance.
• Handle multiple and changing priorities.