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For Companies At a Glance
- Tasks: Advise on risk management, conduct audits, and support compliance initiatives.
- Company: Join one of the UK's largest asset management firms with a strong reputation.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Why this job: Make a real impact in risk and compliance while working with industry leaders.
- Qualifications: Experience in operational compliance and strong understanding of regulatory requirements.
- Other info: Dynamic team culture with opportunities for growth and learning.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: We are delighted to be working with one of the UK’s largest asset management firms, with over £10bn AUM. They are seeking a Risk and Compliance Specialist to join the team.
THE RESPONSIBILITIES:
- Advise business areas, as appropriate, on recommended control improvements actions, driving ownership, accountability and timely completion of actions.
- Provide investment risk and compliance consultancy to key stakeholders at all levels across the business to appropriately identify and manage conduct risk and support the continued development of a customer‑centric culture.
- Support the Head of Risk and Compliance in the delivery of the Compliance Plan including the completion of risk-based compliance assurance activities.
- Undertake a variety of monitoring and assurance activities including compliance-based audits and risk assessments.
- Support and pro‑actively work with the Head of Risk and Compliance to effectively manage and deliver Depositary and FCA requests to high standard, enhancing our relationship with the regulator.
- Review the funds adherence to investment borrowing powers as set out in COLL 5 and in the ICVC Prospectuses.
- Create trend analysis mechanisms to track experience and anticipate issues.
- Collate Compliance reporting and KPI tracking for use within the team and any relevant Committee(s).
- Interact with Group stakeholders in a professional manner and is able to effectively question, challenge and handle conflict when needed.
- Produces high quality, professional reports for business units and the wider senior management team.
- Tailors written and verbal communications appropriately to reflect the content and to meet the needs of the audience.
- Actively keeps up to date with developments in regulation.
- Advise and influence all key stakeholders including first line operational business areas, Group stakeholders and members of the senior management team.
- Develop and maintain professional working relationships with internal contacts to ensure the provision of an effective and efficient service.
- Assist other team members – develop and demonstrate ‘one team’ behaviours.
- Contribute to a positive relationship with Depositary and FCA by supporting the Head of Risk and Compliance to deliver high quality responses as required.
- Work with external parties including Fund Administrator, Transfer Agent, consultants and auditors, in a professional and competent manner.
EXPERIENCE REQUIRED:
- Operational compliance experience in the investment management sector particularly in an ACD business.
- Strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements.
- Experience of the operational risk environment relating to ACDs and DFMs including investment principles, investment types and portfolio liquidity.
- Knowledge and second line input into the ICARA process.
- Exceptionally well‑organized, with a proven track record of maintaining detailed records and robust audit trails.
- A proficient user of Microsoft Office applications including as a minimum Word, Excel, PowerPoint and Outlook.
Risk & Compliance Specialist employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk & Compliance Specialist
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the hunt for a Risk & Compliance Specialist role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance regulations and risk management principles. Be ready to discuss how you've handled similar challenges in the past, and don’t forget to showcase your ability to tailor communications to different audiences.
✨Tip Number 3
When you get an interview, make sure to ask insightful questions about the company’s approach to compliance and risk management. This shows that you’re genuinely interested and helps you assess if the company culture aligns with your values.
✨Tip Number 4
Don’t just rely on job boards! Check out our website for openings and apply directly. We love seeing candidates who take the initiative to engage with us through our platform—it shows you're serious about landing that Risk & Compliance Specialist role!
We think you need these skills to ace Risk & Compliance Specialist
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in operational compliance and risk management. We want to see how your skills align with the responsibilities outlined in the job description.
Showcase Your Communication Skills: Since the role involves advising stakeholders and producing professional reports, it’s crucial to demonstrate your written communication skills. Use clear, concise language and ensure your application is free from errors.
Highlight Relevant Experience: Don’t forget to emphasise your operational compliance experience, especially within the investment management sector. We’re looking for specific examples that showcase your understanding of regulatory requirements and compliance monitoring techniques.
Apply Through Our Website: We encourage you to submit your application through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it makes the process smoother for everyone involved!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the latest regulations and compliance standards relevant to the investment management sector. Being able to discuss recent changes or trends will show that you're proactive and knowledgeable, which is crucial for a Risk & Compliance Specialist.
✨Demonstrate Your Analytical Skills
Prepare to showcase your ability to analyse data and create trend analysis mechanisms. Bring examples of how you've previously identified issues or improved processes through your analytical skills. This will highlight your capability to contribute effectively to the role.
✨Tailor Your Communication Style
Since you'll be interacting with various stakeholders, practice tailoring your communication style to different audiences. Be ready to explain complex compliance concepts in simple terms, as well as produce high-quality reports. This adaptability will impress your interviewers.
✨Showcase Team Spirit
Emphasise your experience working collaboratively within teams. Share examples of how you've supported colleagues and contributed to a positive team environment. This aligns with the 'one team' behaviours they value and shows you're a good cultural fit.
