Risk & Compliance Analyst

Welcome to Tribe.We’re a values-led, award-winning wealth manager on a mission to redefine what it means to invest well.

Since 2016, we’ve been building a different kind of wealth management firm. One that brings performance and impact together to create meaningful value. One that considers every investment through two lenses: the potential monetary returns it may deliver, as well as its social, economic and environmental outcomes. We call this our ‘twin-lens’.

As a fast-growing, purpose-driven business, we’re proud to support a diverse and deeply engaged client community. Our clients want to use their wealth to do more: to put it to work in a way that will help bring about prosperity for people and planet, whilst also generating a financial return.

We’re a certified B Corporation and signatories to the UN Principles for Responsible Investment and the Women in Finance Charter. We identify the businesses we invest in by using the UN Sustainable Development Goals (SDGs). These are the ‘north star’ of our investment approach; they’re integral to how we understand our clients’ values, as well as the investments we choose, and how we report on them.

We embrace innovation over status quo. We find fresh perspectives by sharing our knowledge, skills and expertise. And we’re united by a shared belief in the power of capital to create positive change.

If you’re excited by the idea of joining a collaborative, forward-thinking team of investment, impact, and client specialists — and helping to drive meaningful change in the industry — we’d love to hear from you.  

Role focus and scope

·      Provide administrative and coordination support to the Risk & Compliance function

·      Help maintain accurate records, registers, meeting packs and reporting materials

·      Support delivery of compliance monitoring, governance and regulatory processes

·      Develop practical experience across risk, compliance and prevention of financial crime within a growing firm

The Risk & Compliance Analyst supports the day-to-day administration of the firm’s Risk & Compliance function, helping to ensure key processes, records and governance activities are completed accurately, on time and to a high standard. The role requires someone who is approachable, professional and confident in engaging with colleagues across the business, including Senior Managers, and who is able to ask appropriate questions, escalate concerns and provide constructive challenge where required.

The role provides practical support across compliance, risk and prevention of financial crime, including record keeping, meeting coordination, reporting preparation, policy administration and follow-up of actions, while offering broad exposure to the operation of a Risk & Compliance function within a regulated wealth management business. The role provides the opportunity to develop from coordination and administrative support into a broader advisory role in time.

The role works closely with the Head of Risk & Compliance and wider business stakeholders, escalating issues promptly where deadlines, data quality, record keeping or follow-up actions may impact effective governance or regulatory compliance.

Key Responsibilities:

Team and functional support

·      Provide day-to-day administrative support to the Risk & Compliance team.

·      Help manage deadlines, trackers and shared action logs.

·      Support document management, filing and maintenance of organised records.

Compliance registers and record keeping

·      Support the maintenance of compliance registers, logs and trackers.

·      Input, update and reconcile information accurately and on a timely basis.

·      Help ensure documents and evidence are stored clearly and can be retrieved easily.

Reporting and management information

·      Assist in collating data for regular compliance and risk reporting.

·      Prepare first drafts of slides, summaries and reporting packs for review.

·      Check information for completeness, consistency and accuracy before circulation.

Policy and monitoring support

·      Support policy reviews by coordinating document versions, feedback and approval records.

·      Assist with compliance monitoring administration, including scheduling reviews and tracking actions.

·      Help collate evidence requested as part of internal reviews, audits or external enquiries.

Advisory and business support

·      Help triage incoming advisory queries.

·      Support the preparation of training materials, staff communications and guidance notes.

·      Carry out background research and information gathering on regulatory and governance topics as requested.

·      Act as an approachable and professional point of contact for Risk & Compliance matters, with the confidence to engage with Senior Managers, ask informed questions and support constructive challenge where needed.

Development and ways of working

·      Build knowledge of the regulatory environment, the firm’s policies and core risk and compliance processes.

·      Demonstrate strong organisation, attention to detail and a willingness to learn.

·      Contribute to continuous improvement in team administration, reporting and record-keeping processes.