Compliance

RISK MANAGEMENT

Compliance

Monitoring and ensuring compliance with existing policies and guidelines is an integral part of the activities of the Office of Investment Management (OIM).  OIM has a comprehensive governance framework committed to the transparency of its activities, and emphasizing standards of honesty, integrity and professionalism in which management leads by example.

As part of the Risk and Compliance Group, the Compliance function of OIM is focused on identifying, assessing, monitoring and reporting on compliance risks in matters relating to OIM’s investment activities, and the personal conduct of staff members. The Compliance team also ensures that our staff adhere to high standards of conduct which include the United Nations “Staff Regulations” and related staff rules, as well as the “Code of Ethics and Standards of Professional Conduct” promoted by the Chartered Financial Analyst Institute (Annex C), regarded as best practice in the investment industry, in addition to other policies and guidelines.

The Deputy Director for Risk and Compliance reports to the Director, OIM.  The Deputy Director assists the Representative of the Secretary-General and the Director, OIM in the development and implementation of the Fund’s policies on investment risk control, compliance, performance and reporting matters.