Risk & Compliance Analyst

10 February 2017
Other - Permanent
United Kingdom
Close Date
1 June 2017

Funds-Axis is a young, fast-growing Regulatory Technology (RegTech) business. We combine deep regulatory knowledge and best-of-breed technology to deliver excellent customer service to our clients and partners. Our clients are leading global asset managers, administrators and depositary banks to whom we provide investment compliance and regulatory reporting services. This market is growing strongly, reflecting increasing regulatory demands and the need for technology solutions.


The Risk and Compliance Analyst will be responsible for managing a portfolio of FundWare client relationships, ensuring delivery of a consistently high level of service to clients.


1. To manage all day-to-day aspects of the FundWare solution and client relationship for a portfolio of clients, including in respect of (as applicable):

• Regulatory rules
• Investment compliance
• Scheme mandates
• Risk Limit System
• Scheme and Portfolio Liquidity
• AIFMD Annex IV reporting
• Cash Flow Monitoring

2. Performance of daily processes to a high standard, to include:

• Data upload and exception investigation
• Governance over successful completion of processes
• Investigating compliance results
• Client daily reporting via daily dashboard

3. To ensure the highest standard of client relationship management, taking the lead on weekly and monthly calls and attending the quarterly call in line with Funds-Axis’ client governance policies, including periodic visits to client premises.

4. To ensure delivery of excellent customer service, including evidencing using workflow management tools in line with Funds-Axis’ policies

5. Other

• Projects/other work as required


As a result of continued growth we are actively recruiting ambitious, sociable, intelligent individuals with initiative, a strong work ethic, excellent communication skills and analytical skills for Risk and Compliance Analyst positions. You should be a confident and organised team-player who is dedicated to the role and to the company, with drive to further your development and growth and that of the company. A strong working knowledge of Excel is essential and a knowledge of the Regulations (UCITS, AIFMD and Shareholder Disclosure requirements) is desirable. You must have a minimum 2:2 undergraduate qualification in a relevant degree program (mathematics, finance, accounting, business, actuarial) and be willing to undertake further study as required.


• Essential: Degree in a relevant discipline, minimum 2:2; proficient in Excel
• Desirable: Regulatory experience (UCITS/AIFMD/shareholding disclosures); relationship management experience


• Analytical skills – the Analyst is expected to perform the FundWare processes on their client portfolio to a consistently high standard
• Organisational skills – the Analyst is expected to manage workload efficiently in order to adhere to key deadline
• Teamwork – the Analyst is expected to work effectively with team members to deliver excellent customer service
• Communication – the Analyst is expected to communicate effectively with clients, team members and managers
• Initiative/independence – the Analyst is expected to take ownership and responsibility for their duties, and use their initiative to identify solutions to issues

Get in touch with us by sending a CV and cover letter to recruitment@funds-axis.com.