Compliance Risk Manager - eFinancialCareers

ZipRecruiter; London; On-site; GBP 65,000 - 90,000; Full time

Job summary

A leading firm in asset management is seeking a Compliance and Risk Officer to manage compliance advisory and monitoring obligations. This hands-on role offers a platform for personal and professional development while providing experience with compliance and risk issues across international regulations, especially in the UK and US.

Qualifications

• Minimum of 5 years of experience within asset management.
• Knowledge of AIFM regulations is highly beneficial.
• Strong control and risk awareness.

Responsibilities

• Advising on compliance with regulations and managing regulatory change.
• Reviewing marketing materials for compliance accuracy.
• Oversight of statutory and regulatory disclosures.

Skills

Regulatory compliance

Risk management

Analytical skills

Communication

Project management

Job description

Job Description

The firm manages multi-billion AUM assets for a broad range of institutional clients.

Role description

The Compliance and Risk Officer shares responsibility for the accurate and timely delivery of the Compliance and Risk assurance programme, which includes critical advisory and monitoring obligations.

This is an exciting, varied, and hands-on role providing an excellent platform for personal and professional development. The position offers experience with a broad variety of compliance and risk issues across international regulations, particularly in the UK/EU and US.

Key Tasks will include:

1. Advising the business to ensure compliance with all applicable regulatory requirements, managing future regulatory change.
2. Advising on regulatory change projects; conducting gap analysis; delivering in-depth thematic reviews; participating in trade body responses to consultations on regulatory matters.
3. Overseeing company marketing materials. Conducting compliance reviews of client, prospect, and consultant communications (e.g., presentations, reports, DDQs, RFPs, website updates) for accuracy, commercial relevance, and timeliness.
4. Daily review of cash, trade, and position data. Using the Order Management System to create and modify system rules and clear daily alerts.
5. Leading team efforts to ensure accurate and timely input, review, and oversight of client restrictions, including reviewing breach finder reports.
6. Facilitating the accurate and timely filing of statutory and regulatory disclosures, especially large holdings and takeover panel disclosures.
7. Responsible for security setup checks and activation.
8. Working with the team on anti-financial crime activities, including risk assessments, AML reviews, sanction screening, and market abuse monitoring.
9. Assisting with updates to Risk Control Self-Assessments (RCSAs), Key Risk Indicators (KRIs), and risk incident reports, ensuring proper documentation and remedial actions.
10. Overseeing and facilitating the annual Audit & Assurance of Internal Controls report, supporting business units as needed.
11. Maintaining and updating business continuity management system documentation.
12. Acting as a super user of the firm’s Compliance/Risk system, ensuring record accuracy.
13. Updating management information for review, participating in internal meetings, and preparing reports for senior management.
14. Supporting ongoing projects, ad-hoc requests, and administrative tasks.

Candidate Profile

Minimum of 5 years of experience within asset management. Knowledge of AIFM regulations is highly beneficial.

Proven ability to work under tight deadlines, prioritize, and manage workloads. Strong control and risk awareness, with the ability to escalate issues appropriately.

Highest standards of professionalism, confidentiality, discretion, and judgment. Impeccable ethical standards. Good industry network and awareness of trends and developments.