Risk & Compliance Officer Risk & Compliance Officer …

ICM Investment Research
in Epsom, England, United Kingdom
Permanent, Full time
Last application, 19 Aug 19
ICM Investment Research
in Epsom, England, United Kingdom
Permanent, Full time
Last application, 19 Aug 19
Working for an international investment management group, the Risk & Compliance Officer will be responsible for ensuring a robust risk management framework is in place for managing risks across the organisation, including market risk, credit risk, business risk, counterparty risk and liquidity risk. Whilst the majority focus of the role is on risk, there is an expectation to support the wider responsibilities of the compliance function.


Full-time, however will consider part-time (4-day week).


Based in Epsom, Surrey, with occasional travel to London or other operational centres.


  • Proactively drive the identification, assessment and mitigation of risk management across the business.
  • Ensure appropriate risk governance and reporting practices are fit for purpose, ensuring that key control issues and emerging risks are appropriately addressed in a timely manner.
  • Collecting and analysing incidents to ensure that relevant lessons are learnt, action plans are developed, monitoring conducted and escalation of issues to the Head of Compliance.
  • Promote a strong risk and control culture, contribute to risk awareness training and development, and help to ensure that learnings and best practices are shared in an effective manner.
  • Help to ensure that a strong governance culture is embedded within the organisation.
  • Support the compliance function within the organisation as directed by the Head of Compliance.


  • Experience of operational or enterprise risk management experience in a UK regulated Asset Management environment (preferably with an AIFM).
  • Experience in the development and rollout of risk frameworks, policies and associated standards.
  • Working knowledge of ICAAP reporting and supporting processes.


  • Knowledge of the workings of the FCA, an understanding of the regulator’s key concerns and how this translates into its objectives in overseeing risk management across an organisation.
  • High commitment to quality with focus on accuracy and excellent attention to detail is required.
  • Excellent communication skills, both oral and written, along with the ability to deliver presentations and training.
  • Good level of numerical, analytical and report writing skills.
  • A working knowledge of the ICAAP requirements.
  • Confidence to work unsupervised where necessary.
  • Good stakeholder management abilities across all levels of seniority.

If interested, please copy this link to your browser: https://mailchi.mp/721cd9fef41a/desh8y8oxh inorder to upload your CV and a cover letter indicating your salary expectations and availability/notice period.