Senior Analyst – Monitoring & Assurance, Pro Services

The Professional Services Operations team supports Baillie Gifford’s Legal, Compliance, Business Risk and Anti-Financial Crime functions through monitoring, assurance, risk oversight and operational support activities. The Monitoring & Assurance capability provides independent check and challenge across key regulatory, conduct, operational and financial crime risk areas. The team assesses whether controls are designed and operating effectively, identifies areas for improvement and supports the business in maintaining effective risk management arrangements. Data, analytics and technology are used where appropriate to support the quality, consistency and efficiency of monitoring and assurance activity.

This role is focused on the delivery of second-line monitoring and assurance activity across Compliance and Anti-Financial Crime risk areas. The role holder will perform risk-based reviews, assess the effectiveness of key controls and provide clear, evidence-based findings and recommendations. The role requires sound professional judgement, strong regulatory knowledge and the ability to provide constructive challenge to business areas. Working with Legal, Compliance, Business Risk, Anti-Financial Crime and operational teams, the role holder will help identify emerging regulatory, conduct, operational and financial crime risks. They will support proactive risk management through the delivery of the Monitoring & Assurance plan and related oversight activity. The role will also contribute to the continuous improvement of monitoring and assurance approaches. This includes using data, technology and automation to improve the quality, coverage and efficiency of assurance work, where this supports the underlying risk and control assessment.

Responsibilities

• Deliver monitoring and assurance reviews across operational, regulatory and conduct risk areas
• Analyse trading surveillance and electronic communications information to identify trends, anomalies and emerging risks
• Perform thematic reviews, control testing, surveillance reviews and other assurance activity in line with the Monitoring & Assurance plan
• Assess whether key controls are appropriately designed and operating effectively
• Produce clear, evidence-based findings, actions and recommendations for stakeholders
• Support the tracking and validation of management actions arising from monitoring and assurance work
• Use data and management information to support risk assessment, testing and the identification of trends or issues
• Contribute to improvements in assurance methodology, testing approaches and reporting standards
• Support the use of data, technology and automation where this improves the quality, consistency or efficiency of monitoring and assurance activity
• Build effective relationships across Legal, Compliance, Risk and Operational teams

Your knowledge and experience

• Significant experience delivering second-line monitoring, assurance, oversight or control testing activities
• Strong understanding of Compliance and Anti-Financial Crime regulatory frameworks and associated risks
• Experience conducting thematic reviews, surveillance, monitoring or assurance testing
• The ability to assess control effectiveness and identify emerging operational, conduct or regulatory risks
• Strong analytical skills, with the ability to interpret data and translate findings into clear, actionable insight
• Experience using data, technology or automation to improve monitoring and assurance approaches
• Strong stakeholder management and influencing skills, including the ability to provide constructive challenge across the business

The type of candidate that we're looking for:

We’re looking for an experienced second-line oversight professional with strong Compliance and Anti-Financial Crime knowledge, sound judgement and a practical, risk-based approach. You’ll be analytical, curious and confident providing constructive challenge, with the ability to assess control effectiveness and translate findings into clear, actionable insight. You’ll also bring an improvement mindset and an interest in how data, technology and automation can strengthen monitoring and assurance activity. The successful candidate will be collaborative and credible, capable of building effective relationships across Legal, Compliance, Risk and Operational teams while maintaining appropriate independence and oversight.

Critical skills:

• Nurture relationships
• Digital effectiveness (including AI)
• Enabling others
• Improvement mindset
• Team working

At Baillie Gifford we are committed to fostering an inclusive and respectful culture in which each of our colleagues can thrive and develop. We believe that our clients are best served by a diverse workforce with the experiences, ideas and perspectives that this brings.

If you are currently working at Baillie Gifford as an employee or contractor please apply to this job from the firm's Workday internal career site.

Baillie Gifford is an independent, private partnership, which allows us to focus entirely on our clients and their investments. It helps our stability, motivation and culture and enables us to take a long-term view on all that we do, including staff development, client relationships and investing. And just like with our investments, we’re good at spotting potential in our employees. Join us and we’ll actively support you to explore the possibilities of your career and interests. We’ll give you on-going training and development, all to ensure you have valuable opportunities to grow your unique talents and pursue your goals. We’re also incredibly committed to the wellbeing of our employees.

This is just a taste of our culture. One that was created by the partners who own and will work with you every day in the firm. People who are always on hand to hear your ideas and suggestions of how to make Baillie Gifford an even better place to be.

So, if this sounds like somewhere you could realise your full potential, then our next investment could be you.

If you have any questions or issues regarding your application, please contact us at HR@bailliegifford.com.