Role details

Compliance and Risk Manager- asset management and advisory

London   •   £60,000 - £90,000   •  Permanent

Bullet points

  • An asset management and advisory firm seeks a compliance and risk professional
  • A broad role in asset management, seeking good regulatory knowledge

About Our Client

This Compliance and Risk Manager- asset management and advisory position is based in London and sits within Financial Services.

An advisory and asset management company, working with retail investors, institutional pension funds and insurers. Currently £18 bn. AUM combined with £30bn. which the firm consults on.

Job Description

This Compliance and Risk Manager- asset management and advisory position is based in London and sits within Financial Services.

The role will involve:

1) Compliance Plan- Updating and maintaining the Compliance Monitoring Programme

2) Reporting- Identifying and reporting compliance concerns to the Head of Compliance and liaising with the business to ensure any required remedial actions are undertaken.

3) Risk assessment- Assist the Head of Legal, Risk and Compliance with the risk assessment process for the business, focusing on the industry, operational, legal, financial and regulatory risks in the business.

  1. Reporting on key risks, including agreeing mitigating controls and escalating other risks (e.g. in relation to specific deals);
  2. Conducting reviews of current or emerging high risk and high profile activities, particularly in overseas territories. This includes not only providing risk advice on a range of deals but also reviewing the existing control environment within individual overseas offices and UK businesses.
  3. Helping managers at all levels across the organisation to ensure that risk management is embedded at an operational level within the business and that staff at all levels are aware of and manage risk as a core part of their responsibilities.
  4. Advising or training staff at all levels on core and on-going risk management issues (e.g. anti-fraud practices, the identification of 'red flags' and the importance of customer / supplier due diligence).
  5. Ensure risk MI is complete, accurate and records are maintained.



Policies and procedures

  • 4) Assist in the design, implementation and periodic review of policies and procedures.



5) Education and advice- Educate staff on the policies, procedures, laws and regulations that impact the business and provide commercial and positive advice in a timely manner.

6) Corrective action- Provide the business with details of the corrective action required to remedy weaknesses identified during compliance and risk reviews and oversee its implementation in a timely manner.

7)Regulators- In conjunction with the Head of Risk, Legal and Compliance, manage relationships with regulators.

8) Approval- Provide compliance and risk approval for financial promotions, literature and new products in a timely manner.

9)Investigation

The Successful Applicant



 A good amount of relevant experience, a manager level candidate

 A confident and engaging personality with an initiative led approach to work.

 A compliance, regulatory or risk background or combination of all three would be a considerable advantage.

 Experience of FCA rules, returns and reporting.

 Exposure to evaluating and maintaining risk and control frameworks



 A Risk and Compliance Manager who has a wide range of experience in relation to FCA requirements with an emphasis on the provision of advisory and investment management services for professional clients.

 To have the capable of 'owning' the operational compliance framework for and have the potential to contribute meaningfully to, and become part of, its management team.

What's on Offer

Please enquire

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Click the Apply or LinkedIn button below or contact Heather Ninnes on +44 20 7776 5936 quoting job reference 13715867
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