Risk & Compliance Analyst – Wealth Advisory

Swarm Recruitment; Witney; On-site; GBP 42,000 - 63,000; Full time

Benefits offered by this job

Annual Bonus Scheme

Phantom Share Scheme

25 days annual leave

Company Pension Contribution 6%

Private Medical and Dental Insurance

Cycle to Work Scheme

35hrs per week

Full-time office working

Job summary

Swarm Recruitment is seeking a Risk & Compliance professional to support the risk and compliance framework across FCA-regulated wealth management activities. You will work with the Compliance Officer and senior management to assess and manage regulatory and conduct risks, aiming for strong client outcomes.

The role covers risk assessments, monitoring, control testing and reporting, with responsibilities spanning incident management, regulatory submissions and training support.

Qualifications

• Experience in a risk, compliance, audit, governance or assurance role within an FCA-regulated financial services firm.
• Good working knowledge of FCA requirements including conduct risk, Consumer Duty, suitability, complaints, financial promotions, SM&CR and regulatory reporting.
• Understanding of risk management frameworks and control testing.
• Strong stakeholder management and clear reporting skills.

Responsibilities

• Support the Compliance Officer in maintaining and embedding the risk and compliance framework, policies, registers, controls and reporting routines.
• Provide advice and challenge on regulatory, conduct, operational and client outcome risks.
• Assist with monitoring activity, client communications, complaints and record keeping.
• Support business changes and supplier arrangements by assessing risks and regulatory impacts.
• Maintain risk registers and incident records; escalate and close actions.
• Assist investigations of incidents, breaches, and control weaknesses; identify root causes.

Skills

Risk & compliance

Stakeholder management

Regulatory reporting

Analytical thinking

Written communication

Education

ICA/CISI/CII qualification

Risk management qualification

Tools

Power BI

Intelliflo Office

GRC systems

Job description

Swarm Recruitment is seeking a Risk & Compliance professional to support the risk and compliance framework across FCA-regulated wealth management activities. You will work with the Compliance Officer and senior management to assess and manage regulatory and conduct risks, aiming for strong client outcomes.

The role covers risk assessments, monitoring, control testing and reporting, with responsibilities spanning incident management, regulatory submissions and training support.