Junior Compliance Analyst (5 month contract)

About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the world's financial markets.

Our expertise, intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients, communities and planet.

We have 4,600 talented specialists on the ground in over 40 countries around the world, enabling us to deliver a unique global perspective across four market-leading business divisions – Global Advisory, Wealth Management, Asset Management and Five Arrows.

As a family-controlled business built on relationships, we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment, development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

Overview of Role

This position will play a vital role in delivering and improving the Compliance monitoring control framework for an expanding and progressive business. Assisting the Compliance Monitoring Manager on a day-to-day basis, the candidate will perform a wide variety of activities, including testing, reporting, coordination, and other assurance functions.

Key Responsibilities

• Monitoring
  • Carry out desk-based and thematic reviews of the Global Advisory Business, as part of Rothschild & Co’s second line of defence and in line with the firm’s risk-based compliance monitoring programme
  • Develop effective processes to improve monitoring and utilise tools to improve process and drive efficiencies
  • Enhance and build upon the existing ongoing monitoring programme and contribute to the ongoing development and refinement of the monitoring program by identifying opportunities to improve methodologies, testing approaches, reporting practices, and risk coverage
  • Conduct high quality and impactful independent Compliance reviews, including e-surveillance, to test and identify Compliance and Regulatory risks and ascertain the effectiveness of controls and provide assurance to senior management that the Business operating in accordance with applicable external regulations and within Group’s risk appetite
  • Coordination with stakeholders to execute monitoring activities and strengthen the monitoring framework
  • Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required and ensure that remediation requirements, ownership, timelines, and expectations are clearly articulated, challenged where necessary, and appropriately escalated to support timely and effective resolution
  • Draft clear, concise, and evidence-based monitoring reports, with findings, remediation actions, and executive summaries for review by senior management
  • Tracking and validation of remedial action points, maintain oversight of agreed remediation plans and action items arising from monitoring activities. Track progress against agreed milestones, challenge delays, or insufficient remediation measures
  • Contribute to management information, trend analysis, and thematic insights to support senior management understanding of emerging risks and control gaps
  • Contribute to a culture of continuous improvement, professional challenge, and constructive engagement with the business