Front Office Risk & Control Analyst Edinburgh (GB) • London (GB)
Business Unit:
Sitting within the Front Office, the role of the Front Office Risk & Control Team is to help ensure that positive client outcomes are being achieved and portfolios are being correctly managed in line with relevant regulatory standards, internal policies, and procedures. A key focus of the Team is in areas such as Suitability and Portfolio Risk. The Team also provide support to strategic initiatives and day-to-day issues which may arise – within both the Front Office function and wider business.
Brief Role Objective:
* The Front Office Risk & Control Analyst will report into the Front Office Risk & Control Manager, with a key and primary focus on Portfolio Risk monitoring and ongoing mandate adherence. Monitoring will include a combination of pre-planned assurance work together with dealing with ad hoc queries and requests for information.
* The role holder is expected to be passionately focused on positive client outcomes.
Key Responsibilities:
* Support the design and upkeep of the Team’s Portfolio Risk monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.
* Complete regular monitoring tasks, in line with the Team’s monitoring plan.
* Support the production and ongoing development of effective MI / KPIs (at business, team, and individual level) to monitor ongoing competence, adherence to policies and procedures, and to demonstrate that the right client outcomes are being achieved.
* Support the resolution of any breaches of client mandates.
* Support production of periodic reports to Boards and Committees as required.
* Support Front Office staff and key stakeholders across the business, acting as a key contact for first line Portfolio Risk matters.
* Strong collaboration and sharing of best practice with teams within the Front Office and the wider business, including Risk & Compliance.
* To support and provide Portfolio Risk related training as agreed.
* Support the delivery of key Front Office Risk & Control initiatives involving Portfolio Risk - developments within the team, with a focus on efficiency, intelligent use of data and, where appropriate, help introduce automation.
Your profile
Key Skills and Technical Requirements:
* Educated to degree level or equivalent professional experience.
* Experience of working in an analytical role.
* Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.
* Advanced Excel skills are essential.
* Prior use of Bloomberg or/and Morningstar and Figaro would be beneficial.
Other Skills and Attributes:
* An experienced professional with knowledge and application of the FCA conduct of business rules.
* An understanding of the JFSC and SEC regulatory environment is advantageous but not necessary.
* Client centric
* Investment focused - good understanding of client investment needs; a working knowledge of fixed income, equity and cash type instruments, investment concepts and characteristics; able to interpret investment risk analysis.
* Strong interpersonal skills and teamwork - an ability to build and nurture relationships with a diverse range of personalities at a variety of different levels in addition to leading a team.
* Strong presentation and communication skills.
* Strong negotiation and influencing skills: capable of representing the client which may necessitate constructively challenging Investment Managers.
* Attention to detail and strong focus on accuracy of information.
* Self-confident and able to influence effectively.
* Self-motivated.
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