Compliance Analyst

Ruffer LLP
London, United Kingdom
15 Nov 2022
03 Dec 2022
Industry Sector
Finance - General
Employment Type
Full Time
Have you got previous experience in managing Compliance registers dealing with breaches and complaints?

Do you have AML and KYC experience in Compliance?

We are currently recruiting a Compliance Analyst for our London office. This role will assist the Compliance Manager in monitoring the firm's compliance with relevant governmental, regulatory, and legal requirements, in line with the Compliance Monitoring Program.

Key tasks include:
  • Monitoring suitability of clients and investments
  • Dealing with Complaints
  • Updating of Compliance registers and production of MI
  • Gifts & Entertainment monitoring, reporting and analysis
  • Ensuring new clients onboarding is in line with Ruffer and Regulatory policies and procedures
  • Monitoring and resolution of automated AML and KYC alerts
  • Monitoring of the Compliance mailbox

Skills, knowledge, experience and qualifications
  • 18 months-2 years' experience in an equivalent role within financial services, preferably in asset/wealth management
  • Managed firm complaints process in line with regulatory requirements with records updated accordingly
  • Excel proficiency essential (macros & vlookups required), as well as being proficient in Word and PowerPoint
  • Some understanding of relevant FCA regulations and how they apply in practice, especially AML, CFT and Sanctions experience

The individual is expected to demonstrate the following, working with our clients and colleagues:
  • Strong fit with Ruffer values - collegiate, integrity, respectful
  • Excellent attention to detail with a commitment and the ability to work to a high level of accuracy
  • Able to multitask and prioritise reoccurring tasks as well as defined one off reviews, whilst being adaptable & resilient under pressure
  • Excellent communication skills essential, both written and verbal with strong administration skills


Ruffer has been providing investment management services for institutions, pension funds, charities, financial planners, and private clients, in the UK and internationally since 1994. Our preoccupation is with not losing money, rather than charging headlong for growth. It's by putting safety first that we have made good money for our clients. Through boom and bust. Successfully navigating three major market corrections - the bust, global financial crisis and covid-19. In all we do, we seek to be responsible investors, considering environmental, social and corporate governance (ESG) issues in our investment process. The Ruffer approach is unchanged from when the firm started in 1994. Our investment process is different to most. It is designed to protect and grow the value of our clients' portfolios - avoiding large losses and harnessing the power of compounding over time. Put simply, we take on the responsibility for managing risk on behalf of our clients.

Ruffer's single investment strategy is defined by two simple investment objectives:
  • Not to lose money in any 12-month period
  • Generate returns meaningfully ahead of the return on cash


We aim to deliver positive returns come rain or shine. If we are to be good all-weather investors, we cannot be dependent on the direction of markets. To avoid that dependency, we always hold investments in what we call growth and protection. We hold these alongside each other, changing the allocation to each over time. When the market sun shines, we expect our growth assets to prosper. When a market storm hits, our protective assets should provide shelter, defending the portfolio from a downturn. At Ruffer, we are committed to being good stewards of our clients' assets. To that end, environmental, social and governance (ESG) considerations are integrated into our investment process. Whether it's climate change or indigenous rights, executive pay or workforce safety, we believe our considered approach helps us make better decisions. To the advantage of our clients' portfolios. To the benefit of the companies, we invest in. And for the good of the environment and society.


Ruffer strives for a diverse and inclusive workplace where our staff respect and understand individual differences. To create a truly inclusive culture, we aim to recruit, develop, and retain diverse talent and we positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race or ethnicity, religion or belief, sex, or sexual orientation.

Please note Ruffer operates a hybrid working policy of 3 days in the office 2 days from home.
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