Purpose
Residing within the Compliance and Risk team, the role holder will have an important role in shaping, delivering and enhancing London CIV’s FCA compliance and Enterprise Risk Management frameworks.
Working closely with the rest of the team, the role holder will take the lead in a number of core compliance and risk activities, including but not limited to compliance monitoring and the Risk & Controls Self‑assessment.
As part of a small and collaborative team, the role holder will be expected to bring sound judgement, ability to constructively challenge and be challenged, and a high level of analytical rigour.
This is a great opportunity for anyone who is keen to develop their career in Compliance and Risk Management. During your time with us, you will get the opportunity to work with and support our Investment, Operations, Commercial, Finance and Investment Risk management processes. You will have the opportunity to contribute to the enhancement and maturation of the firm’s existing risk and compliance frameworks as it moves to fully utilise its MiFID permissions as a discretionary portfolio manager and prepares to become an enhanced SMCR firm by 2028, alongside its ongoing activity as an AIFM.
Key Responsibilities
- Own the day to day running of the Company’s compliance monitoring activities under the guidance of the Head of Compliance & Risk.
- Own the day to day running of the Risk & Controls Self‑Assessment.
- Proactively provide compliance advice to the Company regarding day‑to‑day issues on an unsupervised basis.
- Identify impact of regulation and legislative change on the activities of the Company and proactively help solve challenges arising from these.
- Support the Risk Events management process by carrying out root cause analysis on control failures and identify corrective actions with the control owners, working closely with the Risk & Compliance Analyst in the team to ensure these are completed to a high standard.
- Assist the team to maintain the Company’s compliance policies and procedures in line with regulatory requirements and industry standards and support other teams in maintaining their own policies and procedures.
- Support the Head of Compliance and Risk and the Chief Risk Officer on other BAU compliance and risk activities, including delivery of the compliance and risk training programme, client categorisation and reporting to Governance committees.
- Undertake compliance and risk tasks by proactively engaging with key business stakeholders through workshops and other interactive sessions to continuously build strong, value‑adding relationships across the business.
- Continuously seek to streamline compliance and risk processes to ensure efficient use of resources.
- Be a role model as well as coach and support less experienced analysts in the team through reviewing outputs and sharing best practice.
Key Competencies
- Intellectual curiosity, integrity and ethical judgment.
- Attention to detail, risk awareness and critical thinking.
- Strong organisational and time management skills.
- Strong stakeholder management and influencing skills.
- Ability to work independently and collaboratively.
- Adaptability in a fast‑paced environment.
- Creative problem‑solving skills with the ability to deliver high‑value outcomes through smart resource allocation.
- Strong analytical and numerical skills.
- Commitment to high personal and professional standards including equality and diversity in both employment and service delivery.
Key Skills and Experience
Essential
- Prior Compliance experience in asset management is essential.
- Solid understanding of the FCA handbook, AIFMD and MiFID.
- Knowledge of basic risk management principles.
- Good Microsoft Excel, Word and PowerPoint skills.
- A team player with good written and oral communication skills and who enjoys problem‑solving.
- Someone who is resourceful enough to try to find the answers when they don’t know something but also isn’t afraid to ask for help.
Desirable
- Familiarity with construction of simple databases e.g. in Microsoft Lists or similar.
- Experience preparing reports for Governance Committees.
What we offer
- Our values sit at the heart of everything we do. To truly foster a collaborative and supportive workplace, we offer all employees a range of benefits, including:
- From day one, you’ll have on‑the‑job learning opportunities across a range of asset classes and exposure to leading managers, with plenty of hands‑on experience to support your development.
- Financial support and paid study leave for relevant qualifications or professional development as part of your continuous learning journey.
- A company culture that champions innovation, continuous learning, and personal responsibility within a modern and flexible working environment.
- Employees typically work in the Southwark office a minimum of 50% per fortnight. Our Southwark office operates a hotdesk system and includes access to an onsite gym.
- A minimum of 29 days’ annual leave per year, plus public holidays.
- A generous pension scheme, enhanced family‑friendly policies, and a variety of insurance and wellbeing benefits.
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