Conflict of Interests Controls Manager

  • Salary: £400 per day DOE
  • Location: London, England, United Kingdom
  • Job Type: Full time
  • Company: JCW Search

Conducting Conflict Control Assessments with Conflict Owners.

  • Validation of conflict and control information
  • Input individual CCAs into the system and note if any system enhancements/fixes required, managing them through to completion
  • Matching controls in Control Library from individual CCA data as appropriate (ie, two conflicts using the identical control)
  • Identify Control Owners and brief them, validating the Conflict Owners’ CCA scores (ie, mediate an agreed score between Control Owner and Conflict Owner)
  • Produce comparison MI of control effectiveness by conflicts’ inherent risk score, type, investment area, legal entity, and other factors
  • Maintain documentation of Conflict Disclosure Assessment methodology and procedures
  • Coordinate and compile presentations of individual CDAs for the Executive Conflicts Management Committee (ECMC)
  • Prepare draft template disclosure text for ECMC’s approval in MiFID II style with agreement from Conflict Owners, Legal & Compliance colleagues and Conflicts Director
  • Oversee the implementation of MiFID II conflicts disclosures into the applicable client documentation

Essential skills

  • Asset management business
  • MiFID II’s conflicts of interest requirements
  • FCA’s conflict of interest rules
  • FCA’s standards from SYSC and APER for Risk Management and Controls
  • Risk management principles

 

  • Risk Management, Regulatory Compliance & Audit Recruitment
  • Visit us at our website www.jcwresourcing.com