Risk Analyst Finance & Investments

Marshall Moore
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

An exciting new Risk Analyst role has just become available working for a distinguished Financial Services employer, based in Liverpool City Centre. This position is ideal for candidates with experience providing robust governance and putting control frameworks in place within international Blue Chip organisations.

Offering a highly competitive package to the successful candidate, this role offers a foot in the door with a growing and dynamic organisation.

Key responsibilities for the Risk Analyst

·Manage key CASS risks and controls throughout the business

·Provide CASS subject matter expertise and training to all areas of the firm

·Conduct root cause analysis, corrective action analysis and reporting on operational

errors, breaches and risk events

·Key contact for external CASS audit – ensuring appropriate documentation is provided

when required, onsite contact for day-to-day queries

·Assist the business in ensuring that CASS policies are compliant with regulation and

enforced throughout the business

·Develop, implement and maintain effective systems, controls, processes and procedures

to ensure service standards are met and maintained

·Produce management information relating to CASS and key areas of risk

·Support the Operations Control & Oversight Manager with internal quality assurance


·Support the Operations Control & Oversight Manager with third party service provider and

custodian oversight

·Develop and implement initiatives to mitigate risk

·Act as an escalation point of contact for complex queries and technical questions

·Keep up to date on changing financial regulation pertaining to, for example, ISAs,

pensions and taxation

Essential Requirements are:

·CISI Investment Operations Certificate (IOC) or an equivalent qualification

·CISI “Client Money & Assets” IOC module would be ideal

·Previous financial services experience, particularly in an investment operations


·Experience with the administration of SIPPs & ISAs

·Familiarity with cash and security reconciliation

·Comprehensive knowledge of the FCA CASS sourcebook

·Knowledge of the regulatory requirements relating to investments, such as those found in

the HMRC ISA Rules & Registered Pension Schemes Manual and FCA COBS sourcebook

·Ability to make recommendations for business and process improvement

·Ability to work independently and as part of a team

If you have all of the above requirements for the Risk Analyst position, then please apply now using the link below.

The above vacancy is only one of many thatwe are handling. Marshall Moore Financial Services division specialises in recruiting all types of senior/specialised operations vacancies for both temporary and permanent assignments within financial services, including:

·Investment Operations Manager

·Project Manager

·Business Analyst

·Compliance Officer / Compliance Manager

·Risk Officer / Risk Manager

Marshall Moore is a leading specialist recruitment consultancy. If you would like a confidential discussion about your requirements, please don’t hesitate to call Marshall Moore at our Liverpool office. Alternatively submit your CV for immediate consideration and if your application is successful you will be contacted by one of our specialist consultants within 5 working days.
This job was originally posted as www.totaljobs.com/job/78349094