Risk & Compliance Analyst

Organisation
McInroy & Wood Ltd
Reference
VAC-11384
Contract Type
Full-Time
Practice Area
Compliance / Regulatory, Financial Services, Funds, Regulation
Location
Haddington
Salary
competitive, dep on experience
PQE
0-2 yrs
Assist with the development and maintenance of compliance tools. Ensure policies and procedures are clearly defined and documented. Proactively identify, appraise and communicate regulatory and industry developments. Complete compliance monitoring.

Job Description

A full-time Risk & Compliance Analyst is required to join a successful, independent, discretionary, private client investment manager based in Haddington, East Lothian. McInroy & Wood manage £1.5bn worth of clients’ investments, which are invested directly around the world. It is Authorised and Regulated by the Financial Conduct Authority.

Key attributes

The role involves supporting the Director of Compliance and Group Risk and the Compliance Officer in their role of identifying, monitoring and minimising the risks, not least regulatory, that the business is exposed to. You will strive to provide guidance and support to the business on compliance and risk matters, including the implementation and embedding of compliance and risk policies, procedures and practices. 

Ultimately, we are looking for a candidate that aspires to a career in financial services. Support will be provided towards attaining relevant industry qualifications as deemed appropriate.

Working in a largely private client environment, the candidate will have a meticulous nature, excellent interpersonal skills and a high standard of accuracy and IT competence. A proactive individual, who will seek to enhance business processes and controls and enjoy contributing to ad hoc project work.

Responsibilities

  • Assist with the development and maintenance of key Compliance tools, including the Universe, Radar and Risk Mitigation Action Log, in addition to the Risk Register and Business Continuity Plan.
  • Assist in ensuring that all compliance and risk policies and procedures are clearly defined and documented
  • Proactively identify, appraise and communicate regulatory and industry developments and initiatives and support the business with implementation where required.
  • Complete regular compliance checks to provide certification that the firm’s policies and procedures are compliant and that its systems and controls are effective (internal monitoring).

Required Competencies & Skills

  • Degree level qualification.
  • Some knowledge of financial markets and instruments preferred, but an aptitude for the work is more critical.
  • Willingness to learn and resolute and determined to achieve goals.
  • Conscientious, orderly and accurate approach to learning.
  • Excellent communication and good influencing skills to support decision making.
  • Analytical and able to apply logical thinking to problem solving.
  • Ability to work to strict deadlines and time frames.
  • MS Office Excel (high proficiency required).

Benefits

Salary:  Competitive, depending on experience.

Holidays:  20 days per year; increases to 30 days depending upon time spent with company.

Pension:  Group personal pension scheme, defined contribution.  Company contributes 7% of salary p.a.

Health:  AXA healthcare insurance.

Profit Share:  Eligible for firm’s profit-share on successful completion of probationary period.

Workplace:  A friendly, supportive environment with award winning office premises.

Career:  The opportunity to be sponsored through technical qualifications and daily exposure to highly experienced senior managers and directors.

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