Compliance Monitoring Advisor - CRO - London
We are looking for a Compliance Monitoring Advisor to join us on permanent basis in our London offices.
As a Compliance Monitoring Advisor you will be supporting the Head of UK Compliance Monitoring, delivering compliance reviews, monitoring and transaction surveillance in line with best practice and regulatory requirements across the key business areas.
You will also be supporting the implementation and maintenance of a sustainable best in class Global Compliance Function for Aviva Investors.
Perform risk-based surveillance to confirm that first line compliance controls are operating effectively.
Participate under supervision 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.
Assist with the drafting of terms of reference, reports and track issues to closure.
Assist in development of surveillance and monitoring activities.
Assist in development and implementation of automated solutions for Compliance Monitoring.
Build strong relationships with and provide support to other Compliance team members.
Establish and maintain constructive relationships within relevant business areas.
Provide training as required to Aviva Investors staff on relevant UK regulatory obligations and developments.
Understanding of investment management business model & process, role of Compliance and FCA rules.
Committed and hard working highly motivated self starter with a proactive approach.
Able to work individually as well as part of a team and with minimal supervision.
Able to see through projects through to the end.
Able to ‘think outside the box’ as well as ‘tick the box.’
Meticulous attention to detail, efficient and organised.
High degree of discretion and confidentiality in dealing with sensitive information.
Working at Aviva Investors
Aviva Investors is a global asset manager with broad and deep expertise across all major asset classes. As part of the Aviva Group – the UK’s largest insurance company – we are uniquely positioned to combine our insurance heritage with our investment capabilities to deliver the outcomes that matter most to today’s investor.
More than 1,500 people work across the globe, bringing it all together for today’s investor. When everyone feels part of a unified team, in an environment of fairness, inclusion and positivity, we all achieve more. We care deeply about this, which is why we encourage applications from people with diverse backgrounds and experiences.
At Aviva, we’re people with a purpose. To be with you today, for a better tomorrow. We bring this to life by ensuring managing risk is at the heart of how we all work. We love people who do the right thing for our customers, and our colleagues. We want people who speak up, who take responsibility, and who make good decisions.
The way we do this is important too. We’re all about our people – that’s you – so we can be pretty flexible. In fact, we don’t advertise roles as either part or full time, because we know each person has different needs, just as each business area's needs vary. So, it’s up to you to discuss working hours during your interview.
We interview every disabled applicant* that meets the minimum criteria for the job . Just send us an email once you’ve applied stating that you have a disclosed disability, and we’ll make sure we interview you.
We’d love it if you could submit your application online . If you require an alternative method of applying, please send an email to GlobalRecruitment@avivainvestors.com
* As defined in The Equality Act 2010 *. By ‘ minimum criteria’ we mean you should provide us with evidence which demonstrates that you generally meet the level of competence required and have the qualifications, skills or experience defined as essential to perform the role.