Financial Planning Compliance/Monitoring & Oversight Consultant

Aberdeen Asset Management PLC
Edinburgh, City of Edinburgh, United Kingdom
17 Sep 2020
26 Sep 2020
Job role
Job Description

Standard Life Aberdeen plc is one of the world's largest investment companies, and we are built on a long standing culture of caring about the future and making a positive impact. Together we invest for a better future. We do it to make a difference to the lives of our clients and customers, our employees, society and our shareholders.

Our strategy is to build a vibrant and value-creating purpose-led organisation, with the current and future needs of our stakeholders at the heart of all we do.

SLA's Risk and Compliance division provides assurance, advice and challenge to drive risk awareness and accountability in our business. Our global department structure is underpinned by the principles of centralisation, regionalisation and specialisation and comprises of: central Shared Services, four regional CRO teams aligned to the business and three specialist teams covering Investment Risk Oversight, Regulatory & Conduct Risk and Corporate & Financial Risk.

Our Shared Services team is looking for a Monitoring & Oversight Consultant to support the development and maintenance of methodologies, procedures and standards in relation to the execution of the Risk & Compliance Monitoring & Oversight Plan, with specific alignment to our financial planning business

In this role you will be responsible for:
  • Providing input into the creation and documentation of a global and integrated R&C Monitoring & Oversight Plan using a defined and robust risk-based methodology.
  • Close coordination with regional Business Partnering teams, regulated role holders (e.g. designated Compliance Officers) and regionally aligned Monitoring & Oversight resources.
  • Undertaking monitoring and oversight testing for our financial planning business.
  • Handling the delivery of special investigations / reviews that may arise from time to time, as requested by the Chief Operating Officer and other senior stakeholders.
  • Ensuring that where issues are identified appropriate mitigating actions are recommended and supervised through to completion.
  • Deputising for and supporting the Monitoring & Oversight Manager in meetings when required.
  • Promoting and encouraging a risk culture that underpins SLA's values and drives risk awareness and accountability within the business.

What We're Looking For:
  • Extensive risk management and regulatory compliance knowledge within the financial planning industry, ideally with IFA/FCA experience.
  • Qualified in Chartered Insurance Institute Level 4 Diploma in Regulated Financial Planning or London Institute of Banking and Finance Level 4 Diploma for Financial Advisers is highly desirable.
  • A good understanding of UK regulatory requirements.
  • Knowledge of current and emerging regulatory compliance 'hot topics' and emerging market trends, methods and tools in respect of monitoring & oversight.
  • Knowledge of the asset management industry and key developments.
  • Highly credible and proactive communicator with a track record in delivering clear and concise written and oral communications.

Our Benefits

There's more to working life than coming home with a good salary. We have an environment where you can learn, get involved and be supported.

When you join us, your reward will be one of the best around, including 40 days annual leave, a 16% employer pension contribution, a discretionary, performance based bonus, private healthcare and a range of flexible benefits including gym discounts, season ticket loans and access to an employee discount site amongst many others. You can read more about our benefits here.

Our Values

Our strategic drivers are the foundations from which we deliver for all our stakeholders: High Impact Intelligence, Enduring Relationships, Connections without borders and Future fit. You can find out more about how we create value here.

Our Inclusive Culture

We are committed to exploring the possibilities of working smarter. This means we'd like to hear from you, whatever way you like to work.

We have a long-term commitment to building inclusive workplaces; we value diversity in our workforce and welcome enquiries from everyone. If you need assistance or a reasonable adjustment due to a disability please let us know as part of your application and we will assist. You can find out more about our inclusive culture here.

We're committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense - this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. Standard Life Aberdeen supports a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.

If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.

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