Robert Walters
Compliance & Risk Executive - Entry Level
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Compliance and Risk Executive
A leading financial institution in London is seeking a Compliance and Risk Executive to join their dedicated team. This role offers you the opportunity to play a pivotal part in shaping and maintaining robust compliance and risk management frameworks, ensuring alignment with both local and international regulations.
You will be instrumental in supporting the branch's strategic direction, contributing to the development of policies, procedures, and reporting mechanisms that safeguard the organisation's reputation and operational integrity. The position provides exposure to a wide range of compliance and risk areas, including Anti-Money Laundering (AML), Counter Financing of Terrorism (CFT), market, credit, operational, and enterprise risk management. With access to flexible working opportunities, ongoing training, and generous pension contributions, this role is perfect for someone who values professional growth within a supportive environment.
You will have the chance to work closely with senior management on high-impact compliance and risk initiatives, gaining valuable experience across multiple regulatory domains.
The organisation offers flexible working arrangements, comprehensive training programmes, and generous pension contributions to support your career progression and personal wellbeing.
This role is ideal for candidates who thrive in an inclusive workplace where knowledge sharing, collaboration, and continuous improvement are actively encouraged.
What you'll do:
As a Compliance and Risk Executive based in London you will be responsible for supporting both the Head of Risk Management and Head of Compliance in driving forward strategic improvements across all aspects of risk management and compliance. Your day-to-day activities will involve monitoring regulatory changes affecting financial services operations in the UK while ensuring that all internal policies are up-to-date and effectively implemented. You will collaborate closely with various teams to develop robust frameworks for Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT), provide critical oversight on compliance matters including responding to law enforcement requests for information during investigations. Additionally you will lead ethical initiatives within the branch-offering sign-off on new products/services from a compliance perspective-and deliver regular briefings/training sessions aimed at fostering a culture of awareness around risk management. Your analytical skills will be put to use preparing detailed daily/monthly reports covering market credit operational risks while supporting business continuity planning efforts. Success in this role requires strong interpersonal abilities as you work collaboratively across departments providing value-added feedback to Group Compliance whilst maintaining accurate timely reporting.
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- Assist the Head of Risk Management and Head of Compliance in executing strategic directions to improve and implement group risk management frameworks, policies, guidelines, methodologies, and reporting in alignment with business objectives.
- Monitor effective execution of branch compliance strategies, priorities, and initiatives to ensure adherence to relevant local and foreign laws, rules, regulations, standards, as well as internal policies governing the financial services industry.
- Drive the establishment of compliance governance including Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT) frameworks by developing policies, procedures, standards, programmes, internal controls, initiatives, and activities.
- Provide oversight on compliance with applicable laws, rules, regulations, guidelines including internal policies and procedures through regular monitoring and reporting.
- Support the Money Laundering Reporting Officer (MLRO) by ensuring all regulatory requirements and AML/CFT policies introduced by the bank are implemented effectively within the unit.
- Assist the Head of Compliance in developing, recommending, implementing, and enhancing compliance monitoring for all risk categories while ensuring proper segregation of duties and enforcement of dual control.
- Provide information and documents requested by law enforcement agencies for investigation purposes under guidance from the Head of Compliance.
- Lead initiatives relating to moral and ethics within the branch while providing sign-off on new products/services/processes from a compliance perspective.
- Deliver value-added feedback to Group Compliance by monitoring changes in industry developments regularly; gather information as requested for ad-hoc reports.
- Review audit issues related to policies/procedures; examine risk/compliance manuals/guidelines; conduct ongoing compliance testing/review; perform preliminary/ad-hoc review of potential non-compliances or breaches.
- Promote a culture of risk and compliance awareness at the branch through briefings and formal in-house trainings on risk management topics including AML/CFT matters.
- Assist Head of Risk Management in reporting/analysis for Market Risk, Credit Risk, Operational Risk & Enterprise Risk Management areas; prepare daily/monthly risk reports.
- Support implementation of Operational Risk Management (ORM) framework as well as Business Continuity Plan (BCP), Contingent Funding Plan (CFP), among other key initiatives.
- Undertake any other duties reasonably assigned by senior management consistent with the scope of the role.
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