Sterling Williams are currently supporting the hiring of an Investment Compliance & Risk officer on behalf of a Fund Services and Solutions business on a permanent basis. Investment Compliance and Risk Officer Salary circa £35 38,000 pa plus benefits Full-time; permanent Office location: Peterborough, but hybrid working is on offer (tapering down over the first few months to 2 consecutive days a month in the office) Working within the Compliance team, the Investment Compliance and Risk Officer is responsible for the day-to-day oversight of all Funds for Authorised Corporate Director (ACD) and Administration services, from monitoring investment risk to meeting mandatory regulatory reporting standards. Manage and co-ordinate the Investment Compliance & Risk Programme for the calendar year, ensuring all key outputs, including but not limited to: Dilution Levy register, Financial Promotions register, eligibility register, Fair Value Pricing quarterly register, Team Near Miss Register and Actions Log are documented when completed, and accurately maintained to produce monthly team key performance indicators (KPI). Efficiently manage the Compliance Team group inbox on a daily basis. Maintain the Incident, Error and Breach register, including root cause and trend analysis, MI metrics and committee, board and external reporting. Ensuring appropriate documentation is produced and retained to facilitate all designated governance reporting. Liaise with delegated Investment Managers and all in-house Operational teams over any errors arising, in order to record and reduce the number of the recurrence of breaches. Assist with investment risk compliance oversight, including: Funds-Axis platform data monitoring and reporting of investment and borrowing powers, liquidity, global exposure daily monitoring. Preparing and reviewing monthly reporting to the Investment Committee; analytical review, identifying trends and potential areas of concern. Maintenance of Eligible Markets and Assets listing to facilitate periodic reviews, including Fund propositions/launches and transitions to ensure investment in eligible markets, due diligence has been performed. Working cooperatively with the Depositary and Investment Manager firms. Produce regulatory reporting and oversight, including for example the Alternative Investment Fund Managers Directive (AIFMD) returns and the European Market Infrastructure Regulations (EMIR) reconciliation confirmations. Assist and lead the implementation and regular review cycle and update of compliance and operating policies and procedures both inclusive of version control management Undertake regular reviews: an Investment Managers report commentaries for Fund report and accounts inclusion. Regular review of Financial promotional marketing materials for the Fund(s). Assist with the ongoing management, review and reporting of the teams, Risk Control and Self-Assessment (RCSA) framework. Completion of external party due diligence questionnaire reviews, i.e., Depositary, third parties as required. Technical Skills and Qualifications Required 3 - 5 years of experience in Financial Services risk management or experience from a Fund and/or wealth management operations background, Experience must be buy-side related and maybe from compliance, risk or operations with a willingness and understanding of compliance/risk Well versed in FCA regulations able to demonstrate knowledge of COLL, COBS and SYSC sourcebooks. Confident skills in the full range of Microsoft office Education to degree and/or relevant professional industry qualification body (e.g.,) IOC, IMC) and or industry expertise (or equivalent) General understanding of investments within the Financial Service industry. Motivated, self-starter who can work well independently as most of the role is based from home after a probationary period so will also need good communication capabilities.