Risk & Compliance Monitoring Analyst

Job Description:

Our client, an esteemed investment management firm, are seeking a Risk & Compliance Monitoring Analyst to join their Edinburgh team on a permanent basis.

The successful candidate will play a key role in supporting the Risk & Compliance monitoring program and the role will have significant emphasis on the delivery of the regular monitoring components, market abuse surveillance, client order handling, best execution oversight and conflicts of interest.

This is a great opportunity to join a successful firm.

• Experience of performing in a monitoring and assurance capacity.


• Demonstrable experience of delivering to a high standard in a timely basis.


• Experience of building good relationships and positively influencing.


• Knowledge of specific regulations, legislation, governance and compliance requirements that impact a role, business area of company as a whole.


• Ability to demonstrate sound judgement and adherence to professional standards.


• Demonstrates a strong focus on self-improvement and continuous learning by proactively building technical knowledge/skills, supports the strategic objectives of the organisation, finds ways of working in a more effective way.


• Clearly & effectively communicates information, ideas, plans, requests and opinions clearly, concisely, and logically, in a manner appropriate for the audience and/ or application through a range of channels including written and oral.


• Attends to critical details to ensure the timely delivery of a quality work product.


• Demonstrates company values in delivering work with integrity and to high ethical standards.


• Recognises the complex interrelationships among business activities and understands the wider implications of decisions.

• The role will have significant emphasis on the delivery of the regular monitoring components, market abuse surveillance, client order handling, best execution oversight and conflicts of interest.


• Responsible for ensuring that where issues are identified appropriate mitigating actions are discussed with the Head of Risk & Compliance Monitoring before being recommended to the business and tracked through to completion.


• Responsible for the delivery of high quality and timely Risk & Compliance monitoring activities, focusing on compliance with regulation / legislation, control effectiveness and the delivery of fair customer outcomes.


• Responsible for assisting in the delivery of the Risk & Compliance Monitoring Plan (‘RCMP').


• Identify personal development areas and work with Head of Risk & Compliance Monitoring to implement appropriate plans, ensuring ongoing development in agreed areas.


• Develop positive and professional working relationships within Risk & Compliance, with Internal Audit and across the business.


• Be proactive, demonstrate well considered judgements and anticipate emerging risks.

• A highly competitive salary


• Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 15963

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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