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    Conduct Risk Associate - London, United Kingdom - Morgan McKinley

    Morgan McKinley
    Morgan McKinley London, United Kingdom

    1 week ago

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    Description

    Job Description

    Associate – Conduct Risk

    The firm is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of account holders, including individuals, charities, and pension funds.

    The firm specialise in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions and aspirations. Our services range from a simple execution only online service to bespoke discretionary investment management including retirement planning.

    About this opportunity:


    • You will be joining the Conduct team within the Compliance function working as an Associate.


    • This role will support the firms Compliance data-led strategy.


    • This is ideal for candidates with strong analytical and quantitative abilities who are looking to further develop their skills within the Wealth Management environment.

    Responsibilities Include:


    • Support the activities of the Conduct team and champion the embedding of a healthy culture, optimal business ethics and strong compliance awareness across the business.


    • Analyse and challenge Investment Governance, Investment Risk and Conduct Risk matters.


    • Update and maintain the current Conduct Risk PowerBI Dashboard.


    • Perform quantitative and qualitative analysis of client portfolios to identify anomalies.


    • Conduct root cause analysis and ad hoc thematic reviews as appropriate, perform trend analysis to identify themes or issues to be investigated further.


    • Write SQL queries to extract data from the firm's Data Warehouse.


    • Build out good relationship and collaborate with other control functions from a conduct and investment governance perspective.


    • Support the Conduct Team to establish good standard of communication, information sharing and documentation practices within the team.

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