Compliance Monitoring Advisor - London
- Londres, Angleterre, Royaume-Uni
- CDI, Plein-temps
- Aviva Investors
- 08 déc. 17 2017-12-08
We are looking for a permanent Monitoring Advisor to join our Risk and Compliance Function in our London Head Office. Role based training makes this role suitable for candidates with demonstrable interest in investment management compliance with limited commercial experience.
We are looking for a permanent Monitoring Advisor to join our Risk and Compliance Function in our London Head Office.
Role based training makes this role suitable for candidates with demonstrable interest in investment management compliance with limited commercial experience.
The Compliance function operates independently advising on and monitoring to 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.
- Primarily responsible for risk-based surveillance to confirm that first line controls in respect of order/best execution processes, market abuse prevention and conflicts of interest are operating effectively.
- Support the team in independent second line risk-based monitoring, themed reviews and ad hoc reviews of procedures, business and compliance processes to identify and escalate potential gaps in adherence to applicable laws, regulations, regulatory guidance and AI or Aviva Group policy.
- Contribute to well-written, coherent and succinct reports on reviews appropriate for circulation to senior stakeholders.
- Establish and maintain constructive relationships within relevant business areas.
- Build strong relationships with and provide support to other Compliance team members.
- Degree qualified
- Demonstrable interest in investment management compliance
- Committed and hard working
- Self-starter with a proactive approach
- Happy dealing with a heavy workload and managing a broad range of tasks
- Numerate and highly literate with willingness to learn relevant regulatory expectations and business processes.
- Excellent attention to detail, efficient and organised.
- High degree of discretion and confidentiality in dealing with sensitive information.
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.
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