Purpose of the role:
To carry out the functions of risk management with emphasis on ensuring that the business operates within all required legislation and regulation; with responsibility for including but not limited to compliance monitoring of regulated clients and Periodic Reviews.
Responsibilities:
- Conducting, within required timescales, the monitoring required by the Funds Governance Team approved monitoring plan for Fund Services businesses, and the reporting of progress against such plan to Director of Fund Governance
- Preparation and issuing compliance reports following review required under risk-based compliance revies; track findings to a conclusion and summarise findings for quarterly Board
- Engage in Customer Due Diligence process for onboarding, periodic review, and trigger event review. Acting as a point of contact for customer due diligence matters
- Supervising and mentoring junior team members
- Management of the performance of the client periodic review process of Funds Services, including the clearance of issues found
- Manage the tracking of periodic review and audit points keeping records as required to evidence clearance of points; prepare report schedules for Compliance reports