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Risk & Compliance Analyst

1 month ago

London, Greater London, United Kingdom eFinancialCareers Full time

Risk & Compliance Analyst

Investment Management

London - Office Based

£60k - £70k DoE

Company

  • They currently have about £2 billion AUM and are looking to grow that significantly over the next couple of years.
  • There are around 30 people based in the London office. This number is made up of investment/trading managers, client services, marketing and finance.


The business consists of a dynamic and ambitious team, for which the culture is one of transparency, motivation, and highly collaborative.


The Role - Risk & Compliance Analyst

Compliance

  • Calculations of monthly OCFs for including in KIIDs and factsheets etc.
  • Regulatory reporting
  • Quarterly notification letters to clients and insurers
  • Drafting memos to update senior management and the board
  • Reviewing an updating policies and procedures
  • Trade compliance (pre and post)
  • Assistance with compliance projects
  • Assistance with monitoring regulatory changes

Risk Management

  • Assisting with internal risk monitoring, including maintenance of the incident register
  • Review of incidents looking for enhancements and reduction in risk
  • Maintaining risk matrix and updating the firm's risk framework
  • Assisting with compliance to the firm's operational risk processes and policies
  • Creating efficiencies and improving processes across the firm
  • Insurance claims, and changes to the firm's PI and cyber insurance
  • Vendor reviews and due diligence
  • Maintaining counterparty list
  • Data uploading documents onto data portals
  • Drafting memos to report to the board on risk and internal audit
  • Working with management to report to the Risk Management Committee and the Audit Committee

Internal Audit

  • Review and assist with management of outsourced internal auditors
  • Internal audit projects
  • Internal audit planning for forthcoming year

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