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Compliance Risk Analyst

2 months ago

Birmingham, Birmingham, United Kingdom Clayton Davies Full time

**About Clayton Davies**

We are a highly successful Investment Management firm seeking a Compliance Analyst to join our business. This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all our departments. The Compliance function delivers independent oversight and assurance, as well as advice in relation to regulatory requirements and the effective design and operation of our control environment.

**Key Responsibilities:**

The role of the Compliance Analyst will be to support the Compliance function in the delivery of the following requirements:

  • **Compliance Monitoring Plan**: The Compliance Monitoring Plan is the main tool to map how we monitor our business and to test and assure that we are meeting all regulatory requirements, including regulatory thresholds.
  • **Compliance Events**: All incidents, errors, and breaches are logged by our business and monitored by Compliance. Compliance investigates logged issues to ensure that problems have been considered, controls are in place to mitigate risks, and that there is appropriate redress.
  • **Regulatory Change**: Compliance is responsible for identifying, analyzing, communicating, and overseeing the implementation of relevant regulatory change.
  • **Outsourcing / Delegation of Investment Management**: Compliance is responsible for ensuring that outsourced and delegated investment management relationships are adequately monitored and overseen, and that any such third parties adhere to all relevant, delegated regulatory requirements.

**Requirements:**

  • It is essential that you have practical experience of compliance monitoring or risk and/or control activities. While experience in the asset management sector is preferred, candidates with relevant experience in other financial sectors will be considered.
  • You will have a strong understanding of the relevant regulatory environment.
  • Understand regulatory requirements affecting financial services in general.