Risk Analyst, Conduct & Governance

Role Description

The 1st line – Risk Analyst is required to support the implementation and application of the Risk Management Framework responsibilities, including but not limited:

Specific Role Responsibilities

Process

• Support the Conduct and Governance risk analyst in the application of conduct and governance practices across FNZ UK entities

• Ensuring the prompt and accurate tracking of Conduct & Governance actions.

• Ensure Conduct Risk Events and causal themes are challenged and escalated to reduce the likelihood of reoccurrence.

• Responding to client enquiries in a prompt and professional manner

• Support the Conduct and Governance risk analyst in the production of Conduct Risk MI.

• Supporting 1st Line Consumer Duty Executive Sponsor in the identification and mitigation of foreseeable harms and cross-cutting rules.

• Identifying efficiencies and improvements in the process related to quality and timeliness.

• Support in maintaining relevant Key Risk Metrics and Risk and Control Self Assessments (RCSAs).

• Partnering with the business to improve the conduct risk control environment

• Assisting in driving quality action plans (events and audits), with appropriate ownership and oversight to ensure completion on schedule.

• Supporting 1st line Risk team with any Risk related enquiries.

• Monitor the landscape for any upcoming changes to requirements or regulations that may impact the company and operations.

• Work with Compliance to provide information for 2nd line reviews of activity (CMPs)

• Using, and becoming a subject matter expert in the use of, the Firm’s designated risk system as the sole repository for Risk Event Information

People

• Ensuring all mandatory training is completed in a timely fashion.

Governance

• Assisting the Conduct and Governance risk analyst to produce material for various committees to report on matters relating to conduct and governance (e.g. Consumer Duty and RCSAs).

• Support the Conduct and Governance risk analyst in ensuring an audit trail of all activities relating to the function.

Functional Area Responsibilities

• Continue to support the Team purpose and ensure the Operational Risk & Control function delivers value and assurance to FNZ and our client base.

• Promote and actively develop a risk aware culture within FNZ 1st line specifically related to Conduct and Consumer Duty.

• Be proactive, organised and actively provide ideas of innovation and process improvement.

• Build and maintain excellent relationships with key internal stakeholders and clients to ensure engagement with our strategy.

• Be informed of sector-wide developments and those beyond the business sector.

• Undertake any other reasonable duties, as determined by the 1st line Risk Managers

• Ensure all mandatory training is completed in a timely fashion.

• Encourage a culture of openness and ethical decision making within the team.

Experience required

It is incumbent upon the Risk Analyst to ensure they are competent and have high performance in the following areas:

• Written and verbal communication should be of a high standard, along with the ability to influence and challenge.

• Ability to communicate effectively at a variety of levels within a regulated environment, both internally and externally, written and oral.

• Numeracy and literacy

• Punctual and deadline driven. An ability to work within tight time constraints

• Analytical thinking

• Conducting meetings and presentations skilfully

• Strong attention to detail

• Execution focussed

• Ability to be objective

• Professionalism and diplomacy

• Be prepared to learn how to understand complex edicts, regulation guidelines, insurance products, and financial legislation

Opportunities

• Right from day one, you will work alongside exceptional, multicultural teams – experts in their respective fields – who will inspire and challenge you to make your greatest impact.

• Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;

• Working in a flexible and agile way that meets the needs of the business and personal circumstances;

• Remuneration, significant financial rewards and career advancement is based on individual contribution and business impact rather than tenure or seniority;

• We provide global career opportunities for our best employees at any of our offices in the UK, EU, US, Canada, South Africa and APAC.

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About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.

We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.

We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.7 trillion in assets under administration (AUA).

Together with our customers, we help over 26 million people from all wealth segments to invest in their future.

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