Compliance & Risk Junior Analyst – London, South East England

Compliance & Risk Junior Analyst – London, South East England

Key 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.

Background / Experience:

• 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