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Senior Compliance and Risk Analyst

Manchester City Centre

Salary

Competitive (based on experience)

Role Description

We are looking for a Senior Compliance and Risk Analyst to join the evestor team! We need someone who is passionate about continuous change; constantly looking for improvements in our processes and procedures to make them more efficient and reduce risk. If you’re looking for a 9-5 role, this won’t be for you. We need people looking to develop their career alongside our growing business, willing to work hard and use their own initiative.

You’ll be involved in projects, monitoring, company-wide assessments and lead working groups and training sessions. In turn, we’ll offer flexible working, in a diverse and vibrant environment in our City Centre offices (complete with free breakfast and free beer…), great training opportunities and the chance to build a fantastic career in a growing company.

Responsibilities

  • Use your knowledge of FCA Regulations to answer questions from our evestor team members and customers
  • Assist in the creation of the annual Compliance Monitoring Plan and conduct Compliance Monitoring
  • Review advice provided by our Financial Advisers and our Robo-Advice system
  • Collaborate with other team members to advise on ongoing and planned projects
  • Help identify upcoming regulatory change and assess the impact on the business
  • Work with the Marketing Department to ensure marketing communications are compliant
  • Be actively involved in the Business Continuity Management Working Group and Risk Working Group
  • Prepare KPIs and MI for Board Meetings, GABRIEL Reporting and FCA Applications
  • Support the Chief Governance Officer in ensuring the business is compliant

Required Skills

  • Experience working in Compliance for an FCA Regulated Firm
  • Work autonomously, plan own workload and be proactive 
  • Hold a relevant qualification, such as CISI IOC and Investment Compliance Diploma.  Other qualifications and relevant work experience considered

Desirable Skills

  • Experience of working within a MiFID II firm (BIPRU firm) or pension provider
  • Experience of completing file reviews
  • Knowledge of specific FCA handbooks: CASS and CONC