Compliance, Internal Audit & Risk

Director – Compliance Officer

£110k - £115k per annum


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About the role:


  • In performing the role as first line ‘policy’ defence, the BCO should:
  • Liaise with Risk & Compliance, the Client Management Team, Investment Team, Operations, Law and others, as required, to consider the impacts of new relevant laws, regulations, and compliance and other risks which impact the business, and advise the Front Office accordingly. Assist and ensure policies, procedures and processes are either drafted or amended, periodically reviewed, and up-to-date.
  • Ensure that all regulatory tracking (PEP, PDMR, Transaction Monitoring CPD, SPS etc) is up-to-date and managed to minimise risk to the business
  • Project manage identified issues through to scale able, efficient and, where possible, systematised solutions with the help and guidance of the Chief of Staff, IT and the change management team.
  • Raise, monitor and maintain all the Compliance and Internal Audit recommendations for the investment management business
  • Provide guidance to RMs and RM Assistants on the collation of Client Due Diligence (CDD) and Risk Assessments, undertaking risk screens and internet searches, review CDD and risk screens, make sure the New Business Acceptance Committee (NBAC) submissions are complete
  • Approve all standard risk accounts and sign off the files. Note: All ‘Higher’ and ‘Highest risk’ accounts require R&C approval.
  • Attend fortnightly Risk & Compliance meetings, monthly Risk & Controls Committee meetings and quarterly Risk & Compliance Committee meetings, and report on material AML and CFT matters.
  • Present work and analysis at these meetings and to the Global Investment Management Executive Committee.
  • Provide system support and input in respect of sanctions screening and prepare reports for Executive management
  • Prepare Combined Risk Assessment in its totality and liaise with Risk & Compliance on recommended updates.
  • Review existing product governance assessments of funds and models and take responsibility for all evaluations going forwards.
  • Undertake flash testing on areas of higher risk, where appropriate
  • Coordinate with Risk & Compliance and the Head of the Client Management team to provide initial and refresher training to RMs on risk and compliance matters. To act as the first line of compliance defence for Relationship Managers and as their liaison with the second line of defence, Risk and Compliance

Skills desired:

  • Educated to degree level, 10 years plus experience in the Financial Services Industry including extensive private client investment management and risk & compliance experience. In depth knowledge of applicable Codes of Practice, AML/CFT legislation and regulations.
  • Exposure to operational functions within previous roles
  • Comprehensive knowledge of the regulatory regime with a full understanding of the risk and process implications for the business
  • Flexible and able to multi-task, setting appropriate priorities and adhering to deadlines.
  • Excellent interpersonal skills
  • Good IT skills (including excel, word, powerpoint).
  • Ability to liaise and collaborate with individuals at all levels, being helpful and co-operative whilst working towards team goals
  • Confidence to deliver practical compliance advice balancing risk management and commercial considerations.
  • Risk identification and management.
  • Good communication and influencing skills
  • Proven experience of working in a challenging and fast-moving environment, across multiple jurisdictions and with complex products
  • Project management experience essential
  • Proactive, determined, and efficient with a can-do attitude

If interested, please apply below. Alternatively, email

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

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