Investment Risk & Compliance Specialist

JR United Kingdom; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading asset management firm in London is seeking an experienced Investment Risk & Compliance Specialist to advise on control improvements and provide compliance consultancy. The role involves engagement with stakeholders and developing compliance plans. Ideal candidates must have a strong background in compliance within investment management and excellent communication skills.

Qualifications

• Demonstrable compliance experience particularly in an ACD business.
• Strong understanding of 2LoD compliance monitoring techniques.
• Ability to influence and negotiate with stakeholders.

Responsibilities

• Advise business areas on recommended control improvement actions.
• Provide investment risk and compliance consultancy to stakeholders.
• Lead change initiatives for second line engagement.

Skills

Compliance experience in investment management sector

Knowledge of UCITS & COLL

Communication skills

Job description

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Investment Risk & Compliance Specialist, London (City of London)

Client:

Davies Talent Solutions

Location:

London (City of London), United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

2

Posted:

26.08.2025

Expiry Date:

10.10.2025

Job Description:

Our client, one of the UK’s largest asset managers with ambitions to double AUM, is looking to appoint an experienced Fund Compliance Specialist in a broad and rewarding role, covering both assurance and advisory activities.

Reporting directly to the Head of Risk & Compliance, the role will support the firm’s wider strategic ambitions, including through engagement in developing new propositions. This is an opportunity to join a dynamic and ambitious firm in a varied compliance role with exposure to senior stakeholders, both internally and externally.

You will:

• Advise business areas on recommended control improvement actions.
• Provide investment risk and compliance consultancy to key stakeholders.
• Lead second line engagement change initiatives.
• Support the Head of Risk and Compliance in developing and delivering the Compliance Plan.
• Review daily risk measurement checks (e.g., derivative exposures, fund compliance with VaR limits, VaR back-testing overshoots, and liquidity thresholds).
• Act as the risk and compliance contact for error and breach identification, resolution, trend analysis, and escalation.
• Liaise with the Depositary to complete regulatory and best practice obligations.

The ideal candidate will have demonstrable compliance experience in the investment management sector, particularly in an ACD business, with deep knowledge of UCITS & COLL; strong understanding and experience of 2LoD compliance monitoring techniques and regulatory requirements, including investment principles, investment types, and portfolio liquidity; excellent communication skills, with an ability to influence, facilitate, and negotiate.