Associate – Operational Risk – Wealth Management

  • £Market Rate
  • London, England, United Kingdom
  • Permanent, Full time
  • Saxton Leigh
  • 12 Nov 18

Our client is the UK’s leading independent providers of discretionary wealth management. They are currently looking to hire an experienced Associate to join their team of 7.


  • Support the activities of the Risk & Compliance team, champion the embedding of a risk awareness culture throughout the business, and be a trusted partner to the business.
  • Facilitate and support departmental, thematic, and New Products and Service Risk and Control Self-Assessments as required. 
  • Manage operating events, including when applicable: Identify issues, coordinate and obtain collective agreement and buy in for actions to reduce risk. Ensure CASS funding is in place. Ensure client compensation is processed in a timely manner.
  • Analysing operational risk themes and drive opportunities within Risk and Compliance and in the business to improve operational efficiency and mitigate risk.
  • Assist in the maintenance and enhancement of policies and procedures as required.
  • Challenge and develop the Risk Management Framework, Operational Risk Management Framework and Policy Management Framework.
  • Oversight of risk information, ensuring completeness and accuracy of data. Ensuring loss event information is captured in the accounting provisions and insurance reporting processes. 


  • Operational risk background ideally gained within a Wealth Management firm.
  • Demonstrates good technical knowledge of regulations, and of business processes and procedures relevant to role. 
  • Communicates professionally with stakeholders, building positive relationships.