Nyasha Masawi

C&ORC (Compliance & Operational Risk Control) provides independent oversight, challenge and control over the non-financial risks arising from the business activities at a global, regional, and entity level, in order to ensure compliance, conduct and operational risks are understood, owned and managed to the firm's risk appetite. We protect the firm from undue Non-Financial Risks (NFR) by leveraging learnings from assurance activities to drive continuous improvement within Group Functions.

Compliance & Operational Risk Control mandates for the Business Divisions are as follows;

• Independently assessing and reporting all material compliance and operational risks relevant to appropriate regional and business division management committees,
• Escalating and reporting C&ORC risks and issues and agreeing appropriate mitigation,
• Maintaining a global understanding of relevant systems, controls and processes used to manage C&ORC risks,
• Managing C&ORC relationships with Business Heads, including ensuring appropriate engagement exists between C&ORC and the Business Divisions at all organization levels,
• Execution of Monitoring, Surveillance and Controls & across all regions to confirm that Monitoring results are communicated and escalated to ensure business and risk developments are appropriately considered for monitoring.
• MS&C provide a platform of excellence for control design and executions at the core of Compliance's mission to control non-financial risk (Market Conduct, Financial Crime and Suitability/Cross-border).
• Provide central frameworks, guidance and standards for the function in addition to coordinating integration activities and delivery of specific operational projects

An outstanding opportunity as a Junior Asset Management Compliance Specialist focusing on;

• Assisting in delivering the Asset Management compliance monitoring & surveillance program by performing second-line-of-defense reviews to assess controls and provide assurance that controls are operating effectively in relation to consequential risks across a number of key taxonomies (Suitability, Cross Border, Market Conduct, Conflicts of Interest, Anti-Bribery & Corruption, Anti Money Laundering and Know Your Client) and regulations.
• Supporting the Asset Management Compliance team in managing additional tasks, activities and projects such as assisting with development and prioritization of annual controls testing and assisting in the reporting and monitoring closure of outstanding actions, investigated and documented compliance violations and recommended corrective measures.Responding to employee inquiries regarding compliance regulations and procedures.Managing and providing daily support to the Asset Management division working closely with Asset Management business and Compliance colleagues across the world.
• Reviewing and analyzing trading activity, transaction data, marketing materials and other documentation.
• Ensure compliance with relevant internal policies and procedures, and regulatory requirements.
• Performing compliance monitoring, testing and /or surveillance activities.
• Developing and maintaining compliance database, tracking all compliance activities and documents.
• Assisting with internal and external audits to confirm compliance with applicable laws and regulations.

• Monitoring all queries received into the Regulatory Compliance team and responding to such queries, or escalating to more senior member of the team (as appropriate)
• Updating the firm's Risk incident register;
• Responding to Regulatory Compliance related questions for pitches and RFPs;
• Processing requests and approvals in line with the firm's Legal & Risk policies; e.g
• Share dealings, outside interests etc
• Handling requests for insider lists;
• Providing general risk support on the firm's projects;
• Conducting preliminary research on professional rules and regulations;

• Conduct legal research
• Review, draft, and revise business agreements
• Draft legal correspondence across all functions
• Managing schedules, take calls for office's senior leadership
• Draw up contracts and other paperwork
• Assisted litigation attorneys with research, discovery and document drafts for court submittal
• Organizing and file legal documents, maintaining a filing system so any document can be found quickly
• Formulate legal documents with lawyer supervision, transcribing and writing accurately
• Discuss case details with legal staff and clients, gathering and categorizing relevant information.