Team Overview :
Reporting to the EMEA Head of Fiduciary Oversight, the role holder(s), will play an active role, within an inclusive team framework for the formulation of a series of EMEA wide Regulatory Risk’ based oversight programmes, through to their full and complete discharge, this to be effected by a combination of established audit techniques and regulatory knowledge.
The effective and efficient discharge of EMEA Regulatory Evaluation programmes, is primarily delivered by the adoption of an on site’ approach, through the utilisation of established audit, risk and relevant regulatory principles, and is complementary to ongoing monitoring structures utilised by Trust & Depositary
The roleholder(s), shall actively participate in all aspects relative to the full and efficient discharge of EMEA Regulatory Evaluation oversight plans.
This including, but not exclusive to :
Construction, upgrade and maintenance to ensure currency of all Section Risk Models to applicable Regulation.
Formulation, maintenance and update as required of key oversight tools, including suite of Pre Audit Questionnaires and associated Tasksheet documentation, to ensure ongoing compliance to applicable regulation.
Planning, undertaking and concluding all scheduled exercises, to agreed Best Practice’ standards of completeness and to timescale.
Regularly engage with Senior personnel of Client and Third Party appointees on a regular basis, to discuss all aspects of review process, including participation in and chairing of close out’ meetings.
Liase with Regulators and internal control functions as required.
Prospective role holder(s) should ideally have : -
A detailed knowledge of UCITS / Non UCITS landscape
Knowledge of CASS / CAP, and interest as pertinent upon oversight Programmes maintained by the Section.
Detailed Knowledge of Custodian & Third Party provider services provision, including Offshoring’.
Experience of working in, or conducting oversight of, Regulatory based control environments
A grounding in, or experience of basic Audit skills.
A willingness and confidence to conduct, lead(as required) and successfully conclude to timescale a suite of Regulatory based oversight exercises.
Due to the nature of the roles, as advertised, periodic requirement to travel to and between EMEA Jurisdictional locations will be required’