Position: Compliance & Risk Analyst
Compliance Purpose:
An exciting opportunity for a talented graduate to join us as an Analyst in our Compliance and Risk Teams. You will support the Company and its employees to implement, monitor and maintain effective processes, procedures, systems, and controls to ensure compliance with regulatory obligations. You will also be involved in supporting the risk management processes and oversight across the firm, liaising with senior representatives from across the business to understand and help shape the risk evolution of the group.
Department: Compliance & Risk Team(s)
Reporting Lines: Head of Compliance; Head of Risk
Location: London
Record Financial Group:
Record is a leading specialist currency and asset manager with $110.3 billion (as at 30 September 2025) in Assets Under Management Equivalent. Record's services include currency management, sustainable finance, and asset management. Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.
Record's offices are in London in the UK, Zürich, Hamburg, and New York.
Key Result Area (Compliance)
- Developing technical knowledge and keeping technical knowledge up to date;
- Implementing policies and adhering to procedures;
- Compliance monitoring & KYC activities;
- Proactively consider compliance policies and procedures and suggest enhancements, new ways to do things (manual or using technology) and suggesting processes for evolving services;
- Periodic regulatory, client & internal report preparation, notifications and returns;
- Measures to identify and mitigate prudential, conduct and other risks to promote an environment of sound corporate governance;
- Undertaking ad-hoc investigations, thematic project work and process improvements;
- Maintaining compliance logs;
- Monitoring contractual compliance obligations; and
- Supporting the Head of Compliance in all other areas as required.
Key Result Area (Risk)
- Proactively build relationships across the firm to gain understanding and oversight of team processes and associated business risks
- Administer and co-ordinate Risk actions through the Business Risk Framework system
- Attend the Executive Risk Committee in the Secretary position, preparing agendas, managing action responses and documenting meeting minutes for each meeting
- Identify areas within Risk or Compliance that a technology improvement could improve efficiency and/or risk oversight and work to implement with the tools available
- Maintain risk logs and complete all risk tasks assigned
- Support Director of Risk in all other areas as required
Requirements
- Strong academic background, educated at degree level
- Ability to learn and retain complex information across a broad field of topics
- Analytical and accurate, with strong respect for adhering to rules/regulations
- Excellent communication skills with a high level of energy and commitment, capacity to build strong relationships
- Strong IT literacy with good knowledge of Excel and Word
- Confident and able to work with new technologies
- Resourceful and positive approach to problem solving
- Experience in financial services is desired but not mandatory
Benefits
- Bonus scheme
- Pension - defined contribution scheme: 11% employer contribution plus may elect for additional personal contributions. Some cash flexibility allowed
- Private medical (BUPA) employee cover - option to purchase cover for partner and family
- Dental insurance - employee cover and option to purchase cover for partner and family
- Life insurance
- Permanent health insurance
- Medical health assessments
- Ride2Work cycle scheme
- Salary sacrifice car scheme
- Train travel season ticket loan
- Subsidised gym membership
- Share incentive plan (SIP) with Record matching
- 20 days minimum holiday, discretional additional holiday may be taken
Equal Opportunities Statement
Record is proud to be an equal opportunities employer. for our employees to reach their full potential they need to feel valued, included and respected. this is the culture that record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.
Disability Confident
As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background. Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.
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