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!
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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!
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