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Investment Risk and Suitability, Technical Support - Initial 6 month fixed term contract

  • Location

    Liverpool

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £55,000 - £75,000

  • Consultant:

    Richard Abelson

  • Email:

    rabelson@merje.com

  • Job ref:

    RA/15320

  • Published:

    29 days ago

The Client-

My client is a very prestigious organisation and a leader in its chosen field.

They are looking to recruit an individual, initially on a fixed term contract for 6 month whose main purpose will be to contribute to the comprehensive analysis of investment management activities, enabling the company to evidence suitability.

The role-

  • This is a new role based within Investment Risk as part of a complex and strategic programme to improve the assessment of suitability and portfolio management standards for the firms clients. This role may work closely with Front Office teams and should be a Subject Matter Expert in Suitability and Portfolio management / monitoring. As an additional priority, the individual will need to become a Subject Matter Expert in the integration of S&J into group, particularly with regard to the Investment Risk and Suitability Work-stream.
  • The person should take a key role supporting the definition and implementation of suitability and portfolio management / monitoring standards and the application of related controls.
  • The individual is required to support Investment Risk to develop, implement and monitor a stronger suitability quality culture and to improve portfolio management standards. Also to collaborate with the Suitability Manager to address identified quality gaps.
  • The role may include visits across all the company’s locations.

Responsibilities:

  • The job holder will need to integrate and work with all parts of the Investment Risk department as and when required. This includes suitability Quality Control, Investment Risk (reporting, review work and controls) and Performance.
  • Interpret and advise on suitability regulatory processes. The individual is required to assess and integrate processes and procedures related to Front Office.
  • Assessment of processes, quality assessments and reporting models regarding suitability and other activities within the Investment Risk area.
  • Attend, contribute to and challenge forums when required.
  • Take part in the communication of feedback to Front Office regarding suitability standards and portfolio monitoring.
  • Work with regional offices, stakeholders and business SMEs to identify and ensure progress towards goals.
  • Work with the front office as required in order to help improve suitability and portfolio management standards across the business.
  • Define and write high quality business reports when required or under own initiative and, when deemed necessary, in conjunction with the rest of Investment Risk.
  • Continuously collaborate in finding ways to enhance operational processes.
  • Build trusting relationships with internal stakeholders by consistently delivering what is required for the job role. Stakeholders may include Front Office, Compliance, L&D, other members of the Investment Risk Team and Senior Management.
  • Serve as a liaison between business areas to ensure that the suitability and portfolio management requirements are clearly communicated and understood as a key priority for the firm.
  • Support the Suitability Manager and other parts of Investment Risk to achieve objectives; resolve issues within their remit.
  • Cultivate an environment that supports individuals and champions the high standards expected of the firms brand.
  • Drive a culture of quality and contribute to enhanced operational efficiency.

 

Key Requirements-        

  • Excellent verbal communication skills.
  • Experience working in dicretionery investment management or financial planning
  • Deep knowledge and understanding of suitability and regulatory issues, with experience regarding suitability projects ideally gained within a discretionary fund manager
  • Professional qualifications relating to invesment management/financial advice/financial planning (level 4 or above)
  • Proven experience of writing business reports with the ability to atriculate complex issues in simple language