Purpose of the role:
You will be responsible for the ownership of the Approved Intermediary (“AI”) framework with the key purpose of ensuring all intermediary relationships are conducted in a compliant manner.
Responsibilities:
- Creating concise and focussed reports of AI Review findings and risk assessment, suitable for presentation to Business Executive
- Where recalcitrant AIs are identified, ensure that Business Executive are advised together with recommendations of remediation actions
- Ensure that a Master record of all high-risk disclosures is maintained for each AI
- Supporting any BI outsourcing arrangements, including the service level reviews, MI production and SLA production/updates
- Attend outsourcing arrangement meetings and record SLA reviews, update business and escalate for remediation when required
Skills required:
- Strong internal and external relationship management skills
- Experience in the securities industry
- Excellent communicator both verbal and written
- Strong evidence of the key competences, with a minimum of 5-10 years relevant experience
- Positive assertiveness
- Compliance or AML qualification preferred but not essential