Our client is an Institutional Investment Management firm based in the City of London. They are looking for a Compliance & Risk Executive to join their small team in a dual Risk & Compliance role. An excellent opportunity for a candidate looking to make the next step up in their career as this role will face off to all levels of senior management.
- Dealing with client compliance & risk enquiries from allocated clients.
- Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
- Ensuring that errors are properly handled by investigation i.e. validating business proposals and looking for further enhancements.
- Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
- Various duties related to ensuring that the guideline compliance controls remain effective.
- Ad hoc projects & covering in the absence of other team members, as and when required.
- Good Degree and IMC/CISI or other relevant investment management/compliance qualifications
- Minimum of 3 years compliance and/or risk experience working within an Institutional Fund Management firm
- Strong interpersonal skills to work with & advise the business
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