A fast-growing regulatory hosting and compliance services business is seeking a Risk & Compliance Analyst (Associate Director level) to join its London-based team. This firm has been supporting investment managers for over a decade, providing regulatory solutions to a diverse international client base, from traditional hedge funds and private equity managers to pioneers in ESG, fintech, and digital assets.
Key Responsibilities & Duties:
* Assessing the organisation's risk management policies and protocols by analysing documents, statistics, reports, and best practices and linking that to portfolio exposure
* Implementing processes and procedures to ensure the organisation is fully prepared to deal with any potential investment and operational risks
* Gaining knowledge of investment instruments by familiarising oneself with different asset classes such as equities, derivatives, fixed income, and REITs. Knowledge of digital assets is a plus
* Understanding investment strategies and fund structures such as hedge funds, private equity, and venture capital funds
* Comprehending regulations around financial risks to develop a framework linking risk and business objectives to supervise investment decisions of our clients and discuss such opportunities knowledgeably
* Building relationships with clients and their stakeholders
* Monitoring performance, including assessing PnL and risk against different strategies
* Creating value analyses across various strategies and proposing risk management and investment management recommendations based on that analysis
* Producing investment reports, attending investment meetings, and presenting proposals to management
* Generating regular investment committee minutes and being on top of risk and liquidity for each strategy
* Reporting to management about the most significant investment exposures to the business, ensuring business heads understand the risks that might affect their departments, and making sure individuals understand their own accountability for individual risks
* Keep up-to-date with the relevant regulations for investment management and capital requirements.
* Understand the implications of and onboarding of related parties including brokers and administrators
* Understand and be aware of implications and practical functions of transaction and trade reporting
The role requires:
* Strong knowledge of FCA regulations and the UK regulatory environment.
* Proficiency in Excel (Python/web application knowledge desirable).
* Excellent analytical, written, and verbal communication skills.
* Highly organised, detail-oriented, and able to thrive in a fast-paced environment.
* Demonstrable problem-solving skills and ability to identify and implement improvements.