Risk and Compliance Analyst
3 weeks ago
Juniper Partners
Juniper Partners Limited (“Juniper”) is an independent company providing a range of professional services to investment trust companies listed on the London Stock Exchange.
This is a fantastic opportunity to join a small but ambitious team across offices in Edinburgh and Dundee. We seek to combine our professional responsibilities to our clients with responsibility for managing our own business and its development. We would welcome interest from people who might enjoy working with us to develop our business further.
The Role
We are currently looking to appoint a Risk and Compliance Analyst. The role will assist in the delivery of our compliance and risk management programme, with a dual reporting line to our Head of Risk and Compliance Officer. The role will involve working collaboratively with colleagues across the business.
The detailed elements of the role are listed below:
Key Responsibilities
- Regulatory Reporting: preparing and submitting regulatory reporting e.g., AIFMD Annex IV reporting.
- Horizon Scanning: assisting in regulatory horizon scanning, impact assessment, analysis and implementation of financial services legislation and regulation.
- Policy Maintenance and Development: drafting and updating policies, procedures, reports and other documents and participating in the annual review of policies and procedures.
- Internal Compliance Oversight: assisting the Compliance Officer with the monitoring of internal compliance.
- Risk Management: participating in ‘deep dives’ of certain key risks, supporting maintenance of the risk register and risk controls self-assessment process (RCSA).
- Themed Review Programme: assisting with the implementation of a themed review programme.
- Controls: supporting the operation of internal controls and testing the effectiveness of those controls.
- Supplier and Third-Party Oversight: participating in due diligence reviews of third-party providers and managers.
- Communications: assisting in the preparation of risk and compliance-related reporting, client proposals and diligence responses.
- Stakeholder Engagement: engaging with different areas of the business to promote a culture of risk awareness and compliance.
Desirable skills and experience
- Risk and compliance experience within an FCA regulated asset management business.
- Up-to-date knowledge of the asset management industry with understanding of relevant risk and compliance topics e.g. operational resilience, financial promotions, cyber risk.
- Strong analytical ability.
- Experience preparing and submitting Annex IV returns on Reg Data.
- Experience with management of compliance software systems.
- Liquidity risk management expertise.
- Excellent verbal and written communication skills, together with the ability to interact effectively with others.
- Highly organised with the ability to work on multiple projects.
- A practical and pragmatic approach.
- Open to change with the ability to identify opportunities to improve and/or enhance processes within the business.
What we offer
As well as a competitive salary, our benefits include an annual profit share, a generous employer pension contribution, private healthcare and at least 25 days annual leave plus public holidays. We also offer hybrid and flexible working and this role can be based in either the Edinburgh or Dundee office.
Diversity
We are an equal opportunity employer and value diversity and inclusion at our company. All suitably qualified candidates will receive consideration for employment on the basis of objective work-related criteria and without regard for the following: age, disability, ethnic origin, gender, marital status, race, religion, responsibility of dependents, sexual orientation, or gender identity or other characteristics in accordance with the applicable governing laws.
No agencies please.
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