Risk and Compliance Officer

Black6; City of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading investment management firm in London is looking for a Risk & Compliance professional. The role involves advising on governance, developing risk frameworks, and ensuring compliance with regulations. Ideal candidates will have over 8 years of relevant experience and a solid understanding of the investment management industry. Strong analytical skills and the ability to communicate effectively at all levels are essential for success in this role.

Qualifications

• 8+ years in investment management risk and/or compliance.
• Strong understanding of regulatory compliance duties.
• Familiarity with FCA and EU regulatory requirements.

Responsibilities

• Provide governance, risk & compliance advice.
• Develop and implement Risk Frameworks and Compliance Plans.
• Engagement across the business to identify emerging risks.

Skills

8 or more years’ experience in risk and/or compliance

Excellent understanding of the Investment Management industry

Analytical and problem solving skills

Strong written and verbal communication skills

Good planning, organisational and prioritisation skills

Highly self‑motivated

Job description

Pinnacle Investment Management Group Limited (ASX:PNI) is a leading Australian-based multi-affiliate investment management firm. Our mission is to establish, grow and support a diverse stable of world-class investment management firms.

Pinnacle currently consists of eighteen investment management firms that collectively manage over A$179 billion in assets across a diverse range of asset classes. Our affiliated managers operate autonomously, in line with our philosophy that ‘supported independence’ is an essential ingredient in sustaining investment excellence and business resilience over the long term.

Our values of Client Focus, Honesty and Integrity, Innovation and Empowerment guide all our actions. We continually invest in our people and develop them to help reach their potential through extensive on the job training.

About the role

Lead by the Head of Risk & Compliance UK, Pinnacle’s London Risk & Compliance team is responsible for the delivery and continual improvement of the governance, risk & compliance (GRC) framework across the Group.

Key responsibilities

• Providing accurate, timely, practical and commercial governance, risk & compliance advice across the Pinnacle business and its affiliates;
• Helping to develop, implement, maintain and monitor Risk Frameworks, Compliance Plans, policies and procedures;
• Effective engagement across the business and industry to identify emerging risks and ensuring early escalation of issues;
• Assisting with regulatory interactions such as licence applications/variations, reporting, SMCR, breach notifications and various ad‑hoc requests;
• Assisting with Board, Committee and Management reporting;
• Investment Compliance Monitoring for UCITs and other vehicles;
• Compliance monitoring for clients on a daily/monthly/quarterly basis;
• Analysing regulatory developments for their impact on Pinnacle and its affiliates;
• Assisting in completing routine surveillance testing, escalating and resolving identified issues;
• Providing advice and guidance to the Distribution team on marketing, cross‑border activities, and other relevant topics;
• Assisting in responding to client Due Diligence requests, and meetings;
• Managing and maintaining associated risk and compliance registers, such as incidents & breaches, complaints, training, related party transactions, conflicts of interest, and risks registers;
• Carrying out additional duties as assigned including ad hoc product involvement as the need arises.

Desired skills and experience

To be considered for this opportunity, you should have:

• 8 or more years’ experience in risk and/or compliance within investment management;
• Excellent understanding of the Investment Management industry;
• Good knowledge of Equities, Fixed Interest, FX and ETF’s, knowledge of ETD and OTC derivative instruments an advantage;
• Experience of general regulatory compliance duties an advantage;
• Good understanding of current and proposed FCA and EU regulatory requirements an advantage;
• Analytical and problem solving skills;
• Good planning, organisational and prioritisation skills;
• Highly self‑motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels;
• A focus on placing the interests of Pinnacle’s Clients first and always acting in accordance with TCF (Treating Customers Fairly) principles;
• Understanding of regulations relating to ICAVs an advantage;
• Exemplary integrity, ethics, professionalism and resilience.