Job description


Compliance Analyst (3694)

About IM Asset Management

IM Asset Management Limited (IMAML) is an integrated Financial Planning and Private Client Investment Management company providing planning and investment services to both professionals and individuals.  IM Asset Management Limited part of the Irwin Mitchell Group (a leading UK law firm), delivering services to clients both from within and external to the group. 

With £1bn of assets under management across in excess of 900 clients IM Asset Management has ambition to accelerate its recent successful growth.  

IMAML is part of the Irwin Mitchell Group. Working here you’ll feel a part of our friendly and inclusive environment. We’ll value you for who you are and what you bring. We support each other and push boundaries to achieve incredible things, and make a real difference to our clients and communities.

Your Role and What You'll Be Doing

As a Compliance Analyst, you’ll provide support as part of the IMAM Compliance team to deliver valuable oversight to ensure its adherence to the FCA regulatory requirements and obligations under which it operates.

  • Supporting the design and delivery of a robust Compliance Risk Based Monitoring Programme (RBMP) and conduct detailed reviews and regular testing in line with the programme and any ad-hoc requests.
  • Ensuring findings and relevant actions arising from monitoring tests are agreed with stakeholders and track any agreed actions to completion.
  • Supporting other members of Compliance with client file reviews as required.
  • Managing client complaints within regulatory time frames and completing thorough independent investigations.
  • Providing support to Compliance Management with the development and maintenance of internal policies and standards.
  • Recommending effective internal controls to help mitigate risk to the firm and clients.
  • Representing the Compliance team at relevant working groups or committees providing valuable input and technical regulatory guidance to stakeholders to assist in delivery of projects and business change.


About You
  • A significant background working in Financial Services, ideally with investment management experience.
  • Good understanding of MIFID II requirements and the FCA handbook, including COBS/CASS/TC/COCON/AML/Consumer Duty/DISP knowledge.
  • Excellent communication skills both written and verbal.
  • Professional and articulate with the ability to influence and deliver clear and concise feedback to colleagues.
  • Demonstrative experience of working autonomously and a confident decision maker.
  • Ability to work effectively in a fast paced environment and apply knowledge to problemā€solving and issue resolution.
Our Benefits - What We Can Offer You
  • 25 days annual leave, with the opportunity to buy additional leave
  • Two fundraising days in a year to give back to the community (fully paid!)
  • Westfield Health membership, offering discounted leisure and travel and refunds on medical services

We also offer a huge number of well-being initiatives to encourage positive mental health both in and out of the workplace as well as flexible working options to ensure that you are fully supported to work the way that best suits you. Our social responsibility programme is fundamental to who we are. We’re committed to being a diverse and inclusive workplace where our colleagues can flourish. We have a range of groups to celebrate our people across sexuality, disability, age, gender and culture. 

We welcome applications from all diversity groups and backgrounds. We’re committed to enabling everyone to thrive and understanding and celebrating our differences is a key part of that. We’re proud of our work on the Disability Confident scheme, on the Race At Work Charter and as Stonewall Diversity Champions. We also have a range of networks for LGBT+, disability, generations, gender, social mobility, ethnicity, faith and culture to celebrate our people and to enable everyone to thrive.


Additional Information

As part of the Irwin Mitchell Group’s on-boarding process all successful applicants are required to complete the group’s employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, existing employees, clients, partners and other stakeholders.

Depending on the role you apply for we may carry out checks that will establish your eligibility to work in the UK, and criminal record check and financial checks ­with a credit reference agency will also be undertaken.

The employment screening process will fully comply with Data Protection and other applicable laws.

Irwin Mitchell LLP is an equal opportunity employer.

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Riverside East, 2 Millsands, Sheffield, Yorkshire, United Kingdom, S3 8DT

We're proud of our values, and we're looking for people who share them

  • Sub-Department:
    IM Asset Management
  • Sub-Division:
    IM Asset Management
  • Company:
    IM Asset Management
  • Working Hours:
    Full Time
  • Vacancy Type:
  • :
    Leeds, Manchester, Sheffield
  • Salary:
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