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Risk and Compliance AVP/VP, Wealth Management, London
Client:
OCR Alpha
Location:
London, United Kingdom
Job Category:
Other
EU work permit required:
Yes
Job Views:
9
Posted:
18.04.2025
Expiry Date:
02.06.2025
Job Description:
About the firm
Our client is a dynamic wealth manager with a global footprint. They have a strong team culture and offer a hybrid working environment.
About the role
You will be a critical member of the risk and compliance team, tasked with developing and maintaining the internal control system, risk management framework, and compliance policies and procedures.
Key responsibilities
1. Implement and monitor the risk management framework, including planning, reporting, and corrective actions.
2. Conduct controls, contribute to reports, and ensure legal/regulatory compliance.
3. Organize training on Investment, Compliance, and Risk. Provide support to Front Office and Investment Departments.
4. Draft and maintain Risk Management policies and Compliance Monitoring Programs.
Key requirements
1. 5+ years in Risk, Compliance, Internal Control, or Audit (preferably in Wealth/Asset Management).
2. Strong understanding of EU & UK regulatory frameworks, investment process, and financial services.
3. Advanced Microsoft Excel and IT proficiency.
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