A hedge fund is currently seeking an Operational Risk and Compliance Analyst to join their team.
Main Responsibilities:
- Assisting in implementing a new Operational Risk Framework throughout the organisation.
- Analysing procedures and process flows to identify key controls and ensure that risk implications are considered in updates.
- Conducting thematic compliance reviews on topics such as best execution, market abuse, and conflicts of interest.
- Providing support and assistance to risk owners in effectively identifying, assessing, monitoring, and reporting risks.
- Maintaining a Risk Dashboard to illustrate risk appetite metrics and tolerance.
- Collaborating with relevant business areas and external auditors to deliver the Report on Internal Controls, ensuring compliance with the latest standards and timely signing of the reports.
- Reviewing audit actions, errors, risk events, and complaints, and incorporating them into the Risk Framework.
- Conducting daily compliance monitoring and testing, reviewing marketing documentation, approving counterparty agreements, PA dealing approvals, MiFIR T +1 transaction reporting, and managing FCA registrations.
- Assisting with timely regulatory filings.
- Contributing to periodic updates of compliance policies and procedures.
Qualifications and Requirements for a Successful Applicant:
- 1-3 years of working knowledge in asset management compliance and/or risk.
- Strong educational background with a good degree and relevant investment management/compliance qualifications such as IMC/CISI.
- Understanding of regulatory requirements, including awareness of new and pending regulations and their potential impact on the business.
Apply or get in touch for more information!
Eames Consulting is acting as an Employment Agency in relation to this vacancy.
