Willis Towers Watson Compliance Officer – EMEA Investment in London, United Kingdom

Compliance Officer – EMEA Investment

Date Posted: May 18, 2018

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JOB DESCRIPTION

The Compliance Officer will assist the Senior Compliance Director in EMEA aligned to the Investment line of business and help to ensure regional consistency and coordination in support of Compliance officers of TWIMI, TWIM and TWL and other regional offices where appropriate.

Towers Watson Investment Management (Ireland) Limited (TWIMI) is regulated by the Central Bank of Ireland and is authorised as an AIFM. Towers Watson Management Limited acts as the Investment Manager (TWIM) to the AIFM and is authorised and regulated by the FCA, operating under MiFID. TWIM is also registered with the SEC as an Investment Advisor. The firm currently is manager and investment manager to a range of Alternative Fund of Funds and Manager of Manager funds with circa $7bn under management.

Towers Watson Limited is a large FCA-regulated firm consisting of the UK-based components of WTW’s Investment, Human Capital & Benefits and Insurance Consulting and Technology lines of business. It is a significant company of over 2,500 colleagues with a wide range of regulated and unregulated activity.

The Role

  • Design, implementation, execution and maintenance of WTW Compliance procedures manuals, policies and standards, to ensure consistency where possible and avoid duplication.

  • Design and performance of a risk based Compliance monitoring programme including the tracking, reporting and resolution of recommendations with the business.

  • Support team members with Regulatory change/best practice, whether internally or externally driven. This may include the provision of impact analysis reporting and or liaison with other Compliance or business representatives as part of implementation work. For example SMCR, Brexit, Conduct Risk.

  • Enhance Compliance reporting to various senior management based on content generated across the region, in order to provide a clearer picture for management of regulatory risks both present and emerging.

  • Provide support and development of the Compliance function in identifying areas for automation, centralisation, including third party solutions where appropriate.

  • Support the design and delivery of regulatory training for both the team and the business.

  • Representing senior team members where necessary in regular business dialogues, committees, boards.

  • Look to broaden and clarify the Compliance functions interplay and hand off to other regional compliance representatives, central functions e.g. Risk, Legal, Finance etc.

  • Assist in enhancing and supporting business relationships, through active engagement on business needs and identification of areas of regulatory risk in order to inform Compliance planning, assurance, advisory or policy/guidance activities.

  • Participate in specific special projects and performs other duties as assigned

The Requirements

  • Solid understanding of FCA rules as applicable to an asset management business: experience of MIFIDII, AIFMD and core asset classes.

  • Sound experience working for an asset manager in an Advisory/Assurance/Central compliance capacity. (Regulator or Regulatory Consultancy candidates with relevant experience would also be considered).

  • Proven ability to organise and prioritise multiple tasks to successfully meet deadlines as well as being able to quickly understand and and respond to new issues as they arise.

  • To be proactive and tenacious in effectively supporting the team, whilst also being able to work independently to deliver to deadlines.

  • Strong stakeholder and relationship management skills, given the role will be facing off to senior management across the business and potentially the regulator.

  • Able to be pragmatic and commercial, whilst at the same time acting as an independent challenge partner to the business.

  • Excellent oral and written communication skills.

Desirable

  • Knowledge of Irish and US regulatory standards as applicable to an Irish AIFM and a UK based Registered investment Adviser with the SEC.

The Company

Willis Towers Watson is a leading global advisory, broking and solutions company that helps clients around the world turn risk into a path for growth. With roots dating to 1828, Willis Towers Watson has 40,000 employees serving more than 140 countries. We design and deliver solutions that manage risk, optimize benefits, cultivate talent, and expand the power of capital to protect and strengthen institutions and individuals. Our unique perspective allows us to see the critical intersections between talent, assets and ideas – the dynamic formula that drives business performance. Together, we unlock potential. Learn more at willistowerswatson.com.

Willis Towers Watson is an equal opportunity employer

Willis Towers Watson believes that effectively managing a diverse workforce is vital to our business strategy. We have an obligation to our organization, ourselves and our clients to hire and develop the best people we can find. We will continually review our policies and practices to ensure that all areas of the employment process (including recruiting, hiring, work assignments, compensation, benefits, promotions, transfers, company-sponsored development programs and overall workplace experience) are free from discriminatory practices. We are committed to equal employment opportunities at Willis Towers Watson.

Unsolicited Contact: Any unsolicited resumes/candidate profiles submitted through our web site or to personal e-mail accounts of employees of Willis Towers Watson are considered property of Willis Towers Watson and are not subject to payment of agency fees. In order to be an authorized Recruitment Agency/Search Firm for Willis Towers Watson, any such agency must have an existing formal written agreement signed by an authorized Willis Towers Watson recruiter and an active working relationship with the organization. Resumes must be submitted according to our candidate submission process, which includes being actively engaged on the particular search. Likewise, for our authorized Recruitment Agencies/Search Firms, if the candidate submission process is not followed, no agency fees will be paid by Willis Towers Watson. Willis Towers Watson is an equal opportunity employer.

Apply

Not ready to Apply? at https://willistowerswatson.avature.net/WTWTalentNetwork

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JOB SNAPSHOT

  • Location:London, England, GB

  • Date Posted:May 18, 2018