Head of Supervision and Oversight

1 semana atrás

Lisboa, Lisboa, Portugal AlTi Tiedemann Global Tempo inteiro

Company Description

AlTi Tiedemann Global ("AlTi") is a NASDAQ listed global wealth manager, in the business of turning powerful ideas into high-performing strategies and solutions. The firm currently manages or advises on approximately $77 billion in combined assets and has an expansive network of c. 400 professionals across three continents.

Whether our clients are individuals or institutions, foundations or family-led businesses, we offer a connected ecosystem of advice, solutions and innovative investment opportunities from across our global network.

We are passionate about finding better ways to serve our clients. We approach problems with open-mindedness and a restless entrepreneurial spirit to deliver more for clients.

Our culture is rooted in curiosity. We support the unique qualities of each team member and the entrepreneurial spirit shared by all of us. We come from different backgrounds and offer different perspectives. We believe these differences make us better suited for a fast-changing world.

As a growing global firm with offices in 20 major financial centers, we are looking for talented individuals to expand our team. If you share our passion for ideas and commitment to excellence, we want you to join us.

To learn more visit www.alti-global.com.

Job Description

The International Wealth Management ('IWM') Head of Supervision and Oversight is a 1st Line of Defence (1LoD) specialist role reporting directly to the IWM Chief of Staff.

The Head of Supervision and Oversight will be tasked with establishing the Supervision and Oversight team and will be responsible for designing, implementing, and maintaining the Supervision and Oversight Framework, including its policies and procedures, to ensure that IWM operates in a line with firm policy and regulatory requirements. This key function will launch supporting AlTi Wealth Management UK with a view to expand and become the centralised 1LoD oversight function for the whole IWM business and all its locations.

The Supervision and Oversight Framework will include 1LoD day-to-day business controls supporting the Front Office (e.g. 4-eye checks, validations and neutral controls), ongoing monitoring controls, periodic and thematic reviews, risk and control self-assessments, incident tracking and remediation plans where required. The framework will be critical to support AlTi's growth plans in a consistent and scalable manner.

The 1LoD Supervision and Oversight Framework will cover anti-financial crime (e.g., client onboarding controls and periodic reviews), consumer protection (e.g., MiFID client categorisation, suitability and appropriateness, target market, financial promotions, etc.), consumer duty and product governance.

The Head of Supervision and Oversight will be responsible for producing MI reports to the IWM governance fora.

Job Responsibilities

Risk Management and Control Framework:

  • Establish and maintain the Supervision and Oversight Framework tailored to the organization's needs.
  • Identify, assess, and manage operational risks, ensuring robust controls are in place and regularly reviewed.
  • Conduct risk assessments to identify gaps in current practices and recommend process improvements.
  • Develop, document, and implement policies and procedures to support the Supervision and Oversight Framework.
  • Regularly review and update policies to ensure alignment with changing regulatory landscapes and organizational needs.
  • Collaborate with stakeholders to ensure policies are practical, enforceable, and effectively communicated across the organization.

Policy Adherence and Oversight:

  • Ensure the organization's activities comply with established policies, procedures, and risk frameworks.
  • Monitor and report on compliance with internal controls, escalating non-compliance to senior management.

KYC and Client Risk Management:

  • Develop guidance and procedural standards for KYC and Customer Due Diligence (CDD) processes.
  • Provide oversight on customer onboarding and periodic reviews to ensure adherence to KYC policies.
  • Support efforts to identify and mitigate risks related to client profiles, escalating complex cases to Management and the 2nd Line of Defence (2LoD).

Incident Management:

  • Establish procedures for identifying, reporting, and resolving operational incidents.
  • Conduct root cause analyses and implement corrective actions to prevent future occurrences.
  • Track incidents and prepare reports to highlight trends and areas for improvement.

Stakeholder Engagement:

  • Work closely with business units to embed risk management practices and ensure policy adherence.
  • Liaise with the 2LoD, including Compliance and Risk, to ensure alignment of policies and risk frameworks.
  • Collaborate with auditors, regulators, and internal teams to support reviews and assessments.

Training and Awareness:

  • Develop and deliver training programs on business risk policies and best practices.
  • Foster a culture of compliance and proactive risk management throughout the organization.

Reporting and Analytics:

  • Prepare detailed reports on policy adherence, risk metrics and control performance for IWM Management and governance fora (entity boards and IWM committees).
  • Analyze data to identify risk trends and propose actionable insights for mitigating emerging threats.

Qualifications

  • University degree level required.
  • Minimum of 8 years of experience in risk management, supervision and oversight or compliance function - preferably in a similar Supervision, Oversight or Business Risk Management, i.e. in a 1LoD capacity.
  • Comprehensive understanding of Wealth Management products and services.
  • Experience in risk framework and policy design and implementation within financial services – preferably private banking / wealth management.
  • Familiarity with global regulatory environments and risk management standards.
  • Understanding of Anti-Financial Crime KYC/AML standards.
  • Exceptional writing, communication, and stakeholder engagement skills.
  • Fluency in English, both written and spoken, is essential.
  • Professional certifications are advantageous.

Applications are strongly encouraged from candidates reflecting diverse educational, cultural, and experiential backgrounds.

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