Compliance Advisor - London

Job description

The Role

We are looking for a permanent Advisor to join the Compliance Operations team in our Risk and Compliance Function in our London Head Office.                

This role would suit a Compliance professional with some experience in a generalist Compliance role and with an interest in investment management compliance.  Previous experience of monitoring / surveillance and advising on and administering personal conduct controls such as personal account dealing, gifts & hospitality and conflicts of interest would be an advantage as would language skills in supporting our global offices.

The Team

The Compliance function operates independently advising on and monitoring to assess the adequacy and effectiveness of policies and procedures designed to detect any risk of failure by the firm to comply with its obligations under the regulatory system, and the actions taken to address any deficiencies in the firm's compliance with its obligations.

Additionally, the Compliance function is responsible for overseeing the processes for employees’ personal conduct controls, such as personal account dealing, gifts & hospitality and conflicts of interest.

Responsibilities

·  Administration, guidance and review in respect of employee personal conduct responsibilities (such as personal account dealing, gifts & hospitality and conflicts of interest).
·  Providing support to the business and employees on the use of the automated Compliance conduct tool, including by our overseas Compliance teams.
·  Supporting the administration in respect of sensitive information within the firm.
·  Assisting the Compliance Advisory area on operational aspects of policy implementation and controls.
·  Overseeing and supporting the performance of surveillance tests on first line controls in respect of order/best execution processes, market abuse prevention and conflicts of interest.
·  Contributing to well-written, coherent and succinct reports as required and appropriate for circulation to senior stakeholders.
·  Making regulatory applications and reports using relevant FCA systems (e.g. FCA Connect system).
·  Establishing and maintaining constructive relationships within relevant business areas and build strong relationships with and provide support to other Compliance team members.
·  Providing support to the Head of Central Compliance and the Global Head of Compliance Operations.

Requirements

Essential:

·  Degree Qualified
·  Generalist experience in a compliance role
·  Committed and hard working
·  Self-starter with a proactive approach
·  Strong affinity with relevant technology and systems and the ability to quickly familiarise with internal systems
·  Happy dealing with a heavy workload and managing a broad range of tasks
·  Numerate and highly literate with willingness to learn relevant regulatory expectations and business processes.
·  Excellent attention to detail, efficient and organised.
·  High degree of discretion and confidentiality in dealing with sensitive information.

Desirable

·  Proficiency in one or more European languages.
·  Demonstrable interest in investment management compliance.

About us

We are proud to be a different kind of asset manager; our intelligent and innovative solutions are based entirely around our clients’ needs, not ours.

Aviva Investors is a global asset manager with expertise in real estate, fixed income, equity, multi-asset and alternative investments. We are proud to stand out in our field as our intelligent solutions are based around our clients’ objectives, not ours.  About us

Inclusion and diversity

We are a global organisation with thousands of employees and customers from different cultures. We’ve built our approach to inclusion and diversity on the principles of respect, valuing differences and inclusion.   

One of Aviva’s core values is Care More, and this is bought to life through the flexible ways we like to work. This may include working from home some of the time, or flexible work schedules to accommodate parent and carer responsibilities, further studies and hobbies. What’s important to us is that you are supported to do the best work of your life.   Our culture and values

You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.