Risk & Compliance Analyst

The Söderberg & Partners Platform launched in April 2024 as a digital first platform driven by cutting edge technology, providing an end-to-end adviser solution which enables advisers to work smarter and achieve game changing efficiencies in their operations. We are part of Söderberg & Partners, the leading non-bank wealth manager in the Nordics, who have achieved enormous success throughout the Nordic region since the launch of the business in 2004, achieving an impressive asset under administration figure of more than £70bn.

We are looking for a Risk & Compliance Analyst. You will work directly for the Chief Risk & Compliance Officer. This will be a multi-faceted role perfect for anyone wanting to start a career in a 2nd Line Risk & Compliance role or who wants the development opportunities that come from working directly for a Chief Risk & Compliance Officer.

Working closely with the CR&CO on monitoring, training, policy and advice you will have the opportunity to experience a wider range of 2nd Line activity than with similar roles. As the Platform grows there will be opportunities to expand and uplift this role.

This is an exciting opportunity to join at an early stage and help build the business from the ground up.

Organisation
Key Responsibilities

• Undertake compliance monitoring activity (sample checks, themed reviews) under the direction of the CRCO.
• Complete KYC and PEP/Sanction screening.
• Assist the CRCO in the oversight and management of incidents, breaches and complaints.
• Deliver reporting to the CRCO on core Risk & Compliance activity.
• Assist the CRCO in the design and delivery of Risk & Compliance Training.
• Assist the CRCO in maintaining the policy suite.
• Handle recurring and ad hoc queries for the operational employee concerning compliance policy.
• Build strong professional relationships with the stakeholders (operations, IFAs, outsourced service providers) of Risk & Compliance.

Key Requirements

• Knowledge of UK investment platform operations and products, and of the wider financial services industry.
• You should have knowledge and understanding of financial products/wrappers such as ISAs, GIAs and SIPPs, as well as knowledge about different investment options.
• You need to have a proven track record in financial services with demonstrable experience within a 2nd line role. Applicants from a 1st line role are welcome to apply if they can demonstrate the ability to investigate, report on and communicate complex information.
• You should be prepared to be a self-starter, able to work individually but with the desire and willingness to be part of a great team culture.
• Excellent analytical skills, you must be able to analyse data to identify procedural anomalies, unusual trends and potential threats.
• Strong attention to detail together with the ability to manage multiple priorities.
• High professional integrity and an understanding of industry-specific regulations.
• CII/IOC or Risk & Compliance qualifications are desirable but not essential. We would be happy to support you through these if you do not have them but are keen to develop your knowledge.
• You should be articulate and have good writing skills.

Benefits

• Opportunity to be part of building a new and exciting venture in a smaller team with a flat management structure and great development opportunities for the right person.
• 25 days annual leave per year.
• Competitive compensation package including a discretionary bonus, 10% non-contributory pension, private health care, income protection and 8x life cover.
• Hybrid working model. Minimum 3 days on-site.
• Modern office in central Bristol, located next to Temple Meads station (5min walk). Good facilities with a subsidised canteen, secure bike storage and on-site changing rooms and showers.

Interested?
Please register your application including CV and cover letter. We look forward to hearing from you

Great Place to Work

Växande bolag med stora visioner

• Centrala och moderna kontor
• Utrymme för nytänkande och personlig utveckling
• Bra förmåns- och försäkringspaket
• Engagerade och kompetenta medarbetare
• Omtanke om kunden och varandra

About The Company
Söderberg & Partners is a leading non-bank provider of wealth management, corporate pension and insurance services in the Nordic region and the Netherlands. The company offers a wide range of financial services to a substantial and diversified client base that includes corporations, government institutions and individuals. Founded in 2004, the firm is headquartered in Stockholm and maintains offices across Europe. The firm ownership is divided between Mr. P-O Söderberg, the founders and management together with two of the world's largest financial investors – KKR and TA Associates.