Overview
My client is a London based multi-family office who are looking for added support in their middle/back office as they continue to grow. The Operations & Compliance Analyst role blends investment operations, compliance, and risk management responsibilities - a hybrid position for someone with both technical and regulatory expertise in the buy-side environment.
They will support the firm’s operations, compliance, and risk management functions — ensuring investment data integrity, regulatory adherence (FCA, SEC & MiFIR) and workflow efficiency. The analyst acts as a key link between the COO, CCRO and other teams, ensuring the firm operates smoothly and compliantly.
Key Responsibilities
Investment Operations
• Assist in portfolio monitoring, ensuring alignment with target allocations and performance benchmarks.
• Ensure MiFIR compliance
• Provide oversight on portfolio risk factors
• Conduct performance tracking and reporting
• Any other tasks and responsibilities deemed relevant and appropriate by the COO.
Data Management
• Ensure that all data is complete, accurate and compliant
• Prepare and validate data for all month and quarter end performance reports cycles.
• Be able to field any data related queries
• Identify and implement opportunities to enhance data quality and productivity, including leveraging AI-driven tools.
Compliance
• Maintaining the policy and procedures tracker
• Support the CCRO in managing quarterly and annual attestation processes
• Assist with the preparation of documentation for the SMCR
• Record and monitor compliance breaches
• Assist with some FCA regulatory reporting.
• Co-ordinate in-house training & maintaining CPD logs.
Risk Management
• Conduct daily financial crime screening
• Review of third-party payments
• Support the MLRO and the Front Office in preparing periodic financial crime risk management reviews
• Maintain and periodically update the firm’s country risk assessments
Qualifications and Experience
• A minimum of 5-10 years related experience within buy-side operations and risk management
• A good understanding of securities especially fund products, direct investments and derivatives
• Familiarity of performance calculations and methodology.
• Good organisational and interpersonal skills.
• Ability to improve workflow efficiency across data management and the compliance/risk functions
• Confidence to flag and mitigate potential risks to the business as well as recommend process improvements
• Experience of regulatory frameworks (FCA, SEC, MiFIR & SMCR)
• Proven ability to identify and mitigate operational and regulatory risks.
• Excellent organisational, analytical, and problem-solving skills.