Risk and Compliance AVP/VP, Wealth Management

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Risk and Compliance AVP/VP, Wealth Management, London

Client:

OCR Alpha

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

9

Posted:

18.04.2025

Expiry Date:

02.06.2025

Job Description:

About the firm

Our client is a dynamic wealth manager with a global footprint. They have a strong team culture and offer a hybrid working environment.

About the role

You will be a critical member of the risk and compliance team, tasked with developing and maintaining the internal control system, risk management framework, and compliance policies and procedures.

Key responsibilities

1. Implement and monitor the risk management framework, including planning, reporting, and corrective actions.
2. Conduct controls, contribute to reports, and ensure legal/regulatory compliance.
3. Organize training on Investment, Compliance, and Risk. Provide support to Front Office and Investment Departments.
4. Draft and maintain Risk Management policies and Compliance Monitoring Programs.

Key requirements

1. 5+ years in Risk, Compliance, Internal Control, or Audit (preferably in Wealth/Asset Management).
2. Strong understanding of EU & UK regulatory frameworks, investment process, and financial services.
3. Advanced Microsoft Excel and IT proficiency.

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