engaging through verbal and written communications. Ability to produce high quality risk assessments and reports. Supporting... the business through a variety of projects and change programs, including delivery of key regulatory initiatives...
, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate changes... agencies for defined matters. Support the creation of a comprehensive risk management and/or quality management, and regulatory...
for accounts under responsibility, with supervision. Primary Responsibilities: Support the Relationship Manager with oversight... Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite. Identify risk...
Manager to provide conduct risk metrics Assisting in the production of compliance MI and reports Keeping an up... and advising the business on new and upcoming regulatory changes and how they may be impacted Identifying and investigating new...
, policies and procedures Oversight of financial reporting in accordance with relevant GAAP and regulatory requirements...Career Stream: Manager Career Level: Manager Level 5 Department: Finance Job Family: Finance Job Sub-Family...
Who we are looking for: Trade Management Manager responsible for all aspects of operational support, client... Management you will: Manage the daily BAU Onshore Oversight team for a specified group of clients Closely monitor all inbound...
of supporting daily activity, business development ambitions and management of regulatory change. Ø Contribute to the oversight...Company Overview Our ambition is to be a leading responsible asset manager. At AXA IM, our purpose, to act...
of supporting daily activity, business development ambitions and management of regulatory change. Ø Contribute to the oversight...Company Overview Our ambition is to be a leading responsible asset manager. At AXA IM, our purpose, to act...
) from onboarding and beyond, with the aim of ensuring that legal risk is adequately managed according to the regulatory risk... Member of the AIF Oversight Committee and advise members of legal risk] Develop and maintain a full and complete...
) from onboarding and beyond, with the aim of ensuring that legal risk is adequately managed according to the regulatory risk... Member of the AIF Oversight Committee and advise members of legal risk] Develop and maintain a full and complete...
About the Business Quilter Cheviot has been the wealth manager of choice for individuals and families for over 250...: Oversight - Complaints Location: London, with hybrid flexibility. Contract type: Permanent. Non regulated...
Manager, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory... categorisation. Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled. Contribute to on-going work...
and mentoring to project team members with new ways of working and PMO control processes — Support the PMO Manager with the... alignment and provide appropriate challenge to ensure successful business outcomes — To provide oversight and management...
General: Job Title: Compliance Officer Division: Compliance – Risk & Compliance Reports To: Compliance Manager... on supporting the Compliance Manager in London with the strategic management of the PRA, FCA and Lloyd’s regulatory relationships...
and governance team within the Finance function, reporting to the Rating Methodology Oversight Senior Manager. This role will work... supports the UK IWR Chief Actuary, who has regulatory responsibility for the appropriateness of internal credit ratings. Key...
in regulatory requirements relating to marketing materials and provide oversight in implementing those changes into appropriate... and guidance regarding the applicability of regulatory requirements to Nuveen’s marketing activities. In particular, the role...
, communications, risk assessments and maintenance of documentation as related to regulatory compliance and recommends appropriate... agencies for defined matters. Support the creation of a comprehensive risk management and/or quality management, and regulatory...
their regulatory responsibilities. Ensure Business risk appetite is set and maintained so that risks are in line with financial crime... including Board, and communicate regulatory concepts clearly. Location: London Work Level: Manager/Expert or Integration...
across Middle Office, Back office, short term liquidity risk management and collateral management. As well as overseeing the...’ execution with third parties and internal investment team Build and leverage third party relationships, including oversight...
Awareness of risk management and compliance oversight over business activities Understanding of a broad range of compliance... a fund or asset manager Good understanding of FCA regulatory requirements on investment businesses Able to interpret...