Risk and Compliance Analyst
The Role
We are seeking a Risk and Compliance Analyst to support the delivery of compliance and risk management programmes. Reporting to both the Head of Risk and the Compliance Officer, you will play a vital role in ensuring regulatory adherence and promoting a culture of risk awareness across the organisation.
Key performance areas include regulatory compliance, risk and control management, and cross-departmental collaboration.
Key Responsibilities
Compliance:
* Assist with monitoring internal compliance, including evidence checking and thematic reviews.
* Draft and update policies and procedures, conduct annual reviews, and arrange staff training and attestations.
* Support regulatory horizon scanning, impact assessments, and implementation of relevant legislation and regulations.
* Prepare and submit regulatory reports (e.g., AIFMD Annex IV reporting).
* Maintain accurate regulatory records, including stop and watch lists, insiders lists, conflicts registers, and staff personal account dealing records.
* Ensure accurate and up-to-date information is maintained in relevant directories and handle regulatory correspondence.
Risk and Control Management:
* Support the maintenance of the risk register and risk control self-assessment process (RCSA).
* Assist with documenting and testing the design and effectiveness of internal controls.
* Contribute to the preparation of the annual Internal Controls Report and external audit management.
* Participate in due diligence reviews of third-party providers.
Reporting and Communication:
* Gather data and updates for risk and compliance reporting to senior committees and boards.
* Work collaboratively across departments to promote risk awareness and best practices.
Experience and Skills:
* Experience in risk and compliance within an FCA-regulated environment, preferably in asset management.
* Strong knowledge of regulatory frameworks and risk management topics, such as operational resilience and cyber risk.
* Experience preparing and submitting regulatory reports (e.g., Annex IV).
* Proficiency in compliance software systems.
* Analytical mindset with strong attention to detail and the ability to identify patterns and connections.
* Effective verbal and written communication skills, with the ability to engage stakeholders at all levels.
* Highly organised with the ability to manage multiple tasks and deadlines effectively.
* Practical, pragmatic, and open to identifying and implementing process improvements.
What We Offer:
* Competitive salary and annual profit share.
* Generous employer pension contributions.
* Private healthcare and at least 25 days of annual leave plus public holidays.
* Flexible and hybrid working options to support your work-life balance.
Diversity and Inclusion:
We are committed to fostering a diverse and inclusive workplace. All suitably qualified candidates will be considered for employment based on objective, job-related criteria, regardless of age, disability, ethnic origin, gender, marital status, race, religion, sexual orientation, or other characteristics protected by law.
How to Apply:
If you’re ready to bring your expertise in risk and compliance to a dynamic and collaborative environment, we encourage you to apply today!