Compliance Monitoring Manager - London

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Aviva Investors
  • 16 Nov 17 2017-11-16

We are looking for a permanent Monitoring Manager to join our Risk and Compliance Function in our London Head Office.

The Role

We are looking for a permanent Monitoring Manager to join our Risk and Compliance Function in our London Head Office.

The Team

The Compliance function operate independently and, inter alia, monitor and assess the adequacy and effectiveness of policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under the regulatory system, and the actions taken to address any deficiencies in the firm's compliance with its obligations.

Responsibilities

  • Work towards leading independent second line risk-based monitoring, themed reviews and ad-hoc reviews of procedures, business and compliance processes
  • Increasing involvement to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and AI or Aviva Group policy, agreeing these and proportionate remediation with stakeholders.
  • Prepare well-written, coherent and succinct reports on reviews appropriate for circulation to senior stakeholders.
  • Perform and / or oversee risk-based surveillance to confirm that first line compliance controls are operating effectively.
  • Establish and maintain constructive relationships within relevant business areas.
  • Build strong relationships with and provide support to other Compliance team members.

Requirements

Essential:

  • Degree qualified
  • Strong understanding of a global investment management environment, business model & operational processes
  • OR Practical understanding of the requirements to meet and demonstrate compliance with relevant legislation, regulations, policies and codes governing the Financial Services industry.
  • Effective manager of senior stakeholder relationships.
  • Demonstrable ability to see through projects through to the end.
  • High quality testing and writing skills with meticulous attention to detail, efficient and organised.
  • High degree of discretion and confidentiality in dealing with sensitive information.

Highly Desirable:

  • Relevant Professional qualification

About Aviva Investors:

Aviva Investors are proud to be a different kind of asset manager; our intelligent solutions are based entirely around our Clients objectives, not ours. Whether our clients are looking for a standard product or something completely bespoke, they can access world-class expertise. Our aim is to retain business with named clients by providing a high level of service. For today's investor

Diversity and Inclusion

Bring to Aviva what makes you different and we'll support you to do the best work of your life. We encourage applications from everyone who wants to help us achieve our purpose of helping our customers to Defy Uncertainty.

One of Aviva's core values is Care More, and this is bought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies. What's important to us is that you are supported to do the best work of your life. Diversity

You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy