Senior Risk and Compliance Assurance
Listed on 2026-11-01
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance, AI Evaluation
I’m delighted to be supporting an Investment Management firm looking for an experienced Assurance professional to join its Risk and Compliance team.
You’ll take ownership of reviews across investment risk, compliance, operational risk and financial crime. You’ll also help the team assess how greater use of AI is changing business processes and controls.
Strong assurance experience comes first, followed by Investment Management knowledge and an interest in applying technology (AI) to assurance will help you make a really early contribution in this position.
Responsibilities- Lead thematic and targeted reviews from initial scoping through to conclusions and agreed actions.
- Test control design and operating effectiveness. Challenge evidence and identify the causes of weaknesses.
- Explain issues clearly to senior stakeholders and agree proportionate improvements.
- Track actions through to completion and validate that issues have been addressed.
- Use data and AI tools to support reviews while assessing controls within processes that use AI.
- Experience in assurance, compliance monitoring, audit or control testing.
- Good exposure to investment management or investment activity and its associated risks.
- Confidence owning reviews and reaching conclusions supported by evidence.
- Clear communication and the judgement to challenge senior colleagues constructively.
- Comfortable using technology with a willingness to build your understanding of AI.
- You do not need to be an AI engineer but practical exposure and the ability to apply assurance judgement to changing processes are what matter.
- Experience of trade surveillance or electronic communications monitoring.
- Examples of using AI in assurance work or assessing controls involving AI.
You’ll join a small team with a broad remit and direct exposure to senior decision makers. There is scope to develop through varied reviews, practical development plans and experience across the wider business.
The team typically attends the office around four days per week in Edinburgh
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