Callum James Consulting
Operations Analyst - Governance & Compliance
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About the Role
This is a new role at a fast-growing fintech. They've built a market-leading platform that helps investment banks, asset managers, hedge funds, and private banks trade electronically.
They're headquartered in London, but Newcastle is where the growth is happening right now, a hub of around 20 people across development, finance, and support, and this role sits right in the middle of it.
They've just landed a major new partnership and are scaling into the US and Asia too, and it's all grown so fast that the governance, compliance, and client due diligence work that used to sit with one person now genuinely needs someone to own it properly. That's you.
In return, you get real breadth, governance, compliance, client due diligence, and vendor management all in one seat, direct exposure to senior leadership and the Board, and a proper 90-day plan that hands you full ownership of the role by month three rather than keeping you doing the boring bits forever.
Responsibilities
You’ll support the effective execution of operational, governance, and compliance activities. Working closely with the Head of Operations and stakeholders across the business, you’ll provide structured support across governance reporting, client due diligence, operational record management, project coordination, and compliance administration.
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The role plays an important part in ensuring operational information is accurate, governance processes run efficiently, regulatory obligations are supported, and internal stakeholders receive timely and reliable operational support.
What You’ll Do
- Support the preparation of governance, management, and regulatory reporting packs and assist in the production of KPI, KRI, and operational performance reporting.
- Maintain governance action logs, decision registers, and reporting schedules and coordinate follow-up actions arising from committees, management meetings, and governance forums.
- Prepare first drafts of Due Diligence Questionnaires (DDQ), RFP responses, onboarding questionnaires, and client information requests and maintain and enhance the firm's central library of standard responses and supporting evidence.
- Maintain project plans, work trackers, action logs, and delivery schedules and monitor progress of operational initiatives and follow up outstanding actions.
- Maintain operational and compliance registers, including policy inventories and other governance artefacts and support annual policy review and attestation processes.
- Maintain supplier records and supporting documentation and support vendor due diligence, onboarding, and review activities.
- Maintain document repositories, file structures, and version control processes and ensure documentation is stored consistently and can be retrieved efficiently.
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What You’ll Need
You don't need a background in financial services specifically, but you do need real experience in a governance, compliance, PMO, or operations support role, due diligence questionnaires, policy administration, or action tracking have been a core part of your day job, not something you've touched in passing. Strong Excel and Office skills are essential, and so is being comfortable using AI day to day.
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