Head Of Supervision And Oversight
Há 3 dias
.Company Description Al Ti Tiedemann Global ("Al Ti") 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 Job Description The International Wealth Management ('IWM') Head of Supervision and Oversight is a 1st Line of Defence (1 Lo D) 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 Al Ti Wealth Management UK with a view to expand and become the centralised 1 Lo D oversight function for the whole IWM business and all its locations.
The Supervision and Oversight Framework will include 1 Lo D 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 Al Ti's growth plans in a consistent and scalable manner.
The 1 Lo D Supervision and Oversight Framework will cover anti-financial crime (e.G., client onboarding controls and periodic reviews), consumer protection (e.G., Mi FID 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
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