Current Opportunities

Our client strives to cultivate and practice inclusiveness

Front Office Controls Lead

Immediate Start

Our client knows that having a diverse and inclusive workplace will support their strategic vision of growth and globalisation. That is why they strive to cultivate and practice inclusiveness for the long-term success of their business and for the benefit of their employees, clients, investors and shareholders. They have retained E2W to help them recruit a Front Office Controls Lead.

Overview of the Role

The post holder will work as part of the Front Office Controls team within Investment Management, supporting the Investment Management Leadership team in managing operational risk within the Front Office and maintaining a robust control framework.

Duties and Responsibilities

  • Perform risk assessment and testing. This means understanding how the key controls have been developed, why, and then performing testing to ensure that they function correctly.
  • Evaluate the outcome of the testing, take a view on how effective they are, and implement any changes that be needed, supporting the business in building new controls.
  • Engage with portfolio managers and partner with a wide range of senior stakeholders, taking the time to understand the nuances of the businesses and emerging risk types.
  • Prepare and deliver presentations to relevant senior committees and the executive leadership team, covering any risks that have been identified and your suggestions for improvements/ enhancements to controls/ systems.
  • Contribute to business wide projects and collaborate with the wider risk group.

Key Relationships

  • Internal Controls Manager
  • Chief Investment Officer
  • Global Head of Fixed Income
  • Co-Heads of Equities
  • Global Head of Multi-Asset Alternatives
  • Global Head of Fixed Income Trading
  • Global Head of Equities Trading
  • Global Head of Investment Risk
  • Global Head of Investment Services and team
  • Fund Management / Trading teams
  • Enterprise Risk and Compliance teams
  • Internal Audit team
  • Infrastructure teams e.g. IT, Operations etc.

Technical Skills and Qualifications

  • Educated to degree level with relevant industry experience
  • Professional qualification preferred but not essential e.g. IMC, CFA, CISI
  • Very good understanding of the financial services industry; asset management experience. Good understanding of risk management methodologies and techniques

Competencies Required

  • Strong written and verbal communication skills
  • Excellent attention to detail
  • Self-motivated and able to work independently
  • Strong interpersonal skills with the ability to build relationships internally and externally
  • Strong time management skills
  • Strong organisational skills

For those in scope of Knowledge & Competence (MiFID II)

  • Knowledge of financial markets, financial markets function and the impact of economic figures and national/regional/global events on markets
  • Understanding of issues relating to market abuse and anti-money laundering

Compliance Requirements

At a minimum the role will require you to:

  • Place the interest of the Clients first and always act in accordance with TCF (Treating Customers Fairly) principles
  • Understand and follow laws and regulations applicable for your  role, seeking the help of your supervising manager or Compliance if you would like further explanation or direction regarding this
  • Understand and abide by all company policies applicable to your role, and ask for the support/guidance of the policy owner if you are unsure at any time

You are ultimately accountable for your actions and responsible for seeking further information on any or all of the above as necessary.

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