Risk & Compliance Manager
Risk / Compliance Manager AM
Summary:
The Risk/Compliance Manager AM is responsible for developing and maintaining tools and methods used to measure, monitor and control applicable risks in particular with respect to private debt, consistent with the firm’s overall investment philosophy, top-down decision-making and capital allocation process. Investment process control analysis and reporting includes the definition of product-specific risk frameworks (i.e., investment objectives, guidelines and limits), due diligence on each transaction, analysis and reporting of adherence to risk frameworks on a pre- and post-trade basis (and definition of corrective actions to be taken if necessary) and transaction and portfolio-level risk analysis. Additionally, the Risk Manager is responsible for performing ongoing risk monitoring as needed (including operational risk). Moreover, the Risk/Compliance Manager AM coordinates the handling of compliance AM problematics locally in the UK, reporting transversally to the Compliance team in Geneva.
Essential Duties and Responsibilities:
Evaluate the risk profile of potential investments in private debt instruments.
Definition of product-specific risk frameworks (i.e., investment objectives, guidelines and limits).
Analysis and reporting of adherence to established guidelines and restrictions on a pre- and/or post-trade basis (and definition of corrective actions to be taken if necessary).
Private debt due diligence (risk and operational risk management analysis) and on-going monitoring (via monitoring log and quarterly certifications).
Transaction and portfolio-level market risk analysis (including trade allocation) and presentation of findings to management.
Transaction and portfolio-level liquidity analysis and forecasting.
Weekly / monthly key risk indicators reporting (market risk, liquidity risk, sustainability risk, counterparty risk, due diligence activity, investment compliance, new product activity and valuation risk).
Monitor the performance of existing investment and assess their ongoing risk exposure. Identify emerging risk and recommend appropriate actions to mitigate it.
Operational risk assessments, including Valuation risk.
Production of the regular risk report for senior management and group risk management, highlighting key risk exposures, mitigation efforts, and emerging trends. Communicate effectively with stakeholders to provide transparency and support decision-making processes.
Foster a strong compliance and risk-aware culture within the organization by promoting best practices, providing training, and encouraging open communication about compliance and risk-related issues.
Ensure that an efficient marketing documentation review process is in place.
Optimization of local Governance, by ensuring that the necessary local and Specific AM Directives are put in place and up-to-date according to local regulatory needs.
Coordination between local stakeholders on Risk/Compliance matters and the respective team within UBP SA Geneva.
Additional Duties and Responsibilities:
Prepare process benchmarking memos and update operating procedures, as needed.
Remain abreast of industry developments and regulatory matters.
Qualifications:
Bachelor’s degree in finance, economics, or related field. Advanced degree (e.g., MBA, CFA) preferred.
At least 5 years of experience in risk and compliance management, preferably in the financial services industry with a focus on private debt.
Strong analytical skills, with ability to assess complex financial data and make sound judgements under uncertainty.
High level of independency, initiative, reliability, innovation, and integrity
Advanced IT skills