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Compliance & Risk Junior Analyst £Exc+bens

An exceptional opportunity to join this management owned Asset Manager with approximately $50bn under management for a global institutional client base within their Compliance & Risk team. This position may suit someone in the early stages of their career who has a solid range of experience e.g. as a member of a larger Compliance & Risk team or a generalist in a smaller team.

Roles & Responsibilities

  • This is a broad role that would suit an individual looking to gain greater knowledge of Risk and Compliance within an asset management setting.

  • Excellent exposure, including regular interaction with the Portfolio Managers, Traders, Operations and Marketing.

  • In addition, the role will interact closely with senior stakeholders in business and related project work.

  • Good knowledge of European (UCITS, MiFID, EMIR) and US (Investment Adviser/Investment Companies Act) regulatory requirements would be an advantage.

  • Compliance Monitoring Programme (“CMP”): Ensuring that appropriate records are kept to evidence comprehensive coverage, that reviews are performed, completed and followed up on a timely basis.

  • Guideline Compliance Process (LVTS): various duties related to ensuring that the Company’s guideline compliance controls remain effective.

  • Client Reporting: Manage allocated client relationships including responses to client queries on compliance matters and ensure that client reporting obligations are met.

  • Compliance Projects: Ad-hoc duties related to development of processes within the team, or the wider business which require compliance input, and any other specialist tasks.

  • Responsibility for overseeing the Company’s Personal Account Dealing arrangements.

Experience & Qualifications

  • Experience in asset management compliance and/or risk working knowledge.

  • Background in dealing with international institutional clients.

  • Good degree and IMC/CISI or other relevant Investment Management/Compliance qualifications.

  • Computer literacy to a reasonably high standard e.g. good working knowledge of Excel and an understanding of, or willingness to learn, VB/VBA.

  • Strong interpersonal skills.

  • Excellent communication/presentation skills.

  • Well organised working style with good attention to detail.

  • Sound judgement and self-confidence but should be prepared to listen and take on other viewpoints.

  • Clear team focus i.e. a team player who is prepared to learn from colleagues, share knowledge with them and get involved in all aspects of the team’s activities.

To hear more about this exciting opportunity, please contact Karen Consalvi on 020 7847 8874 or email your CV to

Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

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