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Risk & Controls Manager - City, London, United Kingdom, EC1A2


Our client is a well established and highly reputable wealth management company offering financial planning and investment advice.

As a result of an internal restructure and further planned growth of the business, they are now looking to add a Risk & Controls Manager to their newly created first line of defence team.

Reporting to the Head of Controls, you will manage and oversee the firms certification and T&C scheme as well as contributing to the maintaining, monitoring and improvements to the First Line control frameworks.

  • Participate in adviser assessments
  • Review and improve the certification scheme
  • Prepare reports for forums and committees (and participate in)
  • Undertake monitoring and quality assurance on first line controls
  • Contribute to the oversight of front office advice activity, including file reviews, development of KPIs and training & competence scheme adherence.
  • Contribute to the development of first line risk and controls framework, operating principles and practices.
  • Monitor and report on key risk indicators

There is administrative support in the team but no managerial responsibilities to begin with. However, the longer term plan is for this team to grow and the Manager to become the Head of Controls reporting into the CRO.

You will have a good understanding of SM&CR and T&C in an office based wealth/IFA environment. Ideally you will also have experience of first line risk and controls development and oversight. Qualifications are not required, but you must have a desire to become CII or CISI qualified, with support.

This company values flexible working and work/life balance and everyone works from home at least once a week. They are an outcome focused management team so there is support, but not micro management, and you are trusted to complete your objectives your way. Benefits include excellent pension scheme, private medical, life assurance, 26 days holiday and a discretionary bonus scheme.