Investment Compliance and Risk Officer

Sitting within our Compliance team, the Investment Compliance and Risk Officer is responsible for key reporting and monitoring processes, risk management oversight and analysis, and change management (including client onboarding and due diligence) to support our UK funds. The job role involves:

• Investment Compliance reporting and monitoring for the funds daily– in accordance with Investment Borrowing Powers rules. Including escalations and resolutions with Investment Manager firms.
• Fund liquidity and exposure monitoring and reporting – analysis within framework parameters and including reporting and presenting both to internal committees, also externally to Fund Sponsors and Fund Depositary parties.
• Managing and maintaining the Incident, Error and Breach register, including route cause analysis, MI metrics and committee, board and external reporting.
• Input on a specialist basis to projects, such as Fund onboarding and change requests: new instruments, markets, regulations and or industry guidance.

To be considered for this position, you must have relevant experience gained from working within an ACD, fund manager or adjacent financial services provider. Your experience means you will be well-versed in FCA regulations and be able to demonstrate knowledge of COLL, COBS and SYSC, and you are likely to hold an industry qualification such as IOC or IMC.You must be able to demonstrate confidence in handling large volumes of numerical data using strong analytical skills, logical reasoning and meticulous attention to detail.

We intend to fill the position with someone with an investment compliance and risk background, although applicants within fund operations and who have a keen interest in compliance will not be overlooked.