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- Tasks: Monitor investment compliance, manage risk, and support fund operations.
- Company: Join a leading financial services provider with a focus on compliance.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Make a real impact in investment compliance and risk management.
- Qualifications: Experience in financial services and knowledge of FCA regulations required.
- Other info: Great opportunity for career growth in a supportive team.
The predicted salary is between 36000 - 60000 £ per year.
Sitting within our Compliance team, the Investment Compliance and Risk Officer is responsible for key reporting and monitoring processes, risk management oversight and analysis, and change management (including client onboarding and due diligence) to support our UK funds.
The job role involves:
- Investment Compliance reporting and monitoring for the funds daily – in accordance with Investment Borrowing Powers rules, including escalations and resolutions with Investment Manager firms.
- Fund liquidity and exposure monitoring and reporting – analysis within framework parameters and including reporting and presenting both to internal committees, also externally to Fund Sponsors and Fund Depositary parties.
- Managing and maintaining the Incident, Error and Breach register, including root cause analysis, MI metrics and committee, board and external reporting.
- Input on a specialist basis to projects, such as Fund onboarding and change requests: new instruments, markets, regulations and or industry guidance.
To be considered for this position, you must have relevant experience gained from working within an ACD, fund manager or adjacent financial services provider. Your experience means you will be well-versed in FCA regulations and be able to demonstrate knowledge of COLL, COBS and SYSC, and you are likely to hold an industry qualification such as IOC or IMC.
You must be able to demonstrate confidence in handling large volumes of numerical data using strong analytical skills, logical reasoning and meticulous attention to detail. We intend to fill the position with someone with an investment compliance and risk background, although applicants within fund operations and who have a keen interest in compliance will not be overlooked.
Investment Compliance and Risk Officer in Peterborough employer: Yealand Fund Services Limited
Contact Detail:
Yealand Fund Services Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance and Risk Officer in Peterborough
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance world, especially those in compliance and risk roles. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and the specifics of COLL, COBS, and SYSC. We want you to walk in with confidence, ready to discuss how your experience aligns with the role of Investment Compliance and Risk Officer.
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've handled large volumes of numerical data in past roles. We love seeing candidates who can demonstrate their meticulous attention to detail and logical reasoning.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always on the lookout for passionate individuals who are eager to make an impact in investment compliance and risk.
We think you need these skills to ace Investment Compliance and Risk Officer in Peterborough
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Investment Compliance and Risk Officer role. Highlight your relevant experience in compliance, risk management, and any specific knowledge of FCA regulations. We want to see how your background aligns with what we’re looking for!
Showcase Your Analytical Skills: Since this role involves handling large volumes of numerical data, don’t forget to showcase your analytical skills in your application. Use examples from your past experiences where you’ve successfully managed data or conducted analysis. We love a good story that demonstrates your attention to detail!
Be Clear and Concise: When writing your application, keep it clear and concise. Avoid jargon unless it’s relevant to the role. We appreciate straightforward communication, so make sure your points are easy to understand and get straight to the heart of your qualifications.
Apply Through Our Website: We encourage you to apply through our website for the best chance of being noticed. It’s super easy and ensures your application goes directly to us. Plus, you’ll find all the details about the role there, so you can tailor your application even better!
How to prepare for a job interview at Yealand Fund Services Limited
✨Know Your Regulations
Make sure you brush up on FCA regulations, especially COLL, COBS, and SYSC. Being able to discuss these confidently will show that you’re not just familiar with the rules but can apply them in real-world scenarios.
✨Showcase Your Analytical Skills
Prepare to demonstrate your ability to handle large volumes of numerical data. Bring examples of how you've used analytical skills in past roles, particularly in risk management or compliance reporting.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to investment compliance and risk. Think about how you would handle incidents, errors, or breaches, and be ready to discuss your thought process.
✨Highlight Your Change Management Experience
Since the role involves change management, be prepared to talk about any relevant projects you've worked on. Discuss your experience with client onboarding, due diligence, or adapting to new regulations to show you can handle the dynamic nature of the job.