The Risk Assurance & Insight function supports Baillie Gifford’s Investment Risk, Compliance, Business Risk and Anti-Financial Crime functions through second-line monitoring, assurance, risk oversight, reporting, training coordination and operational support activities.
The Risk and Compliance Assurance team provides independent check and challenge across key regulatory, compliance, operational, investment and financial crime risk areas. The team assesses whether controls are designed and operating effectively, identifies areas for improvement and supports the business in maintaining effective risk management arrangements.
Data, management information and technology are used to improve the quality, consistency, coverage and efficiency of monitoring, assurance and reporting activity.
Purpose of RoleThe Senior Analyst, Assurance Technology & Data will manage and strengthen the technology, data and automation capability that underpins the firm’s second-line Risk and Compliance Assurance programme. The role will also perform risk-based monitoring and assurance activity, including surveillance case review, control testing, analysis of system outputs and the identification of trends, anomalies and potential control issues.The role will act as a bridge between assurance professionals, Technology, data teams and system owners, helping to turn assurance requirements into scalable monitoring, surveillance and analytical solutions. It will support the effective use of trade surveillance, e-communications monitoring, data platforms, automation and AI-enabled tools across assurance activity. A key focus will be the day-to-day management and use of trade surveillance and e-communications systems, including system tuning and configuration, alert and case review, analysis of system performance and escalation of matters requiring further review.
This is not a software development role. The role requires experience managing or using compliance surveillance systems, sufficient technical capability to understand systems, data, workflows and controls, and a practical understanding of assurance needs and risk-based testing. The role holder will help confirm that technology supports effective assurance coverage, consistent control testing and clear insight, while retaining appropriate professional judgement and challenge.Responsibilities
- Support the day-to-day management, configuration and effective use of compliance surveillance systems, including trade surveillance and e-communications monitoring. This includes rules, parameters, workflows, user access, alert quality and oversight of system outputs.
- Perform risk-based monitoring and assurance work across Investment Risk, Compliance, Business Risk and Anti-Financial Crime, supporting technology-enabled approaches where these improve coverage, consistency and efficiency.
- Review alerts and cases, analyse system outputs and assess whether issues require escalation, further review or wider assurance activity.
- Use data, management information and AI-enabled tools to identify trends, anomalies, exceptions, potential control issues and emerging risks, and to improve the targeting of monitoring and assurance work.
- Work with assurance colleagues to translate monitoring and testing requirements into repeatable data queries, dashboards, automated workflows and analytical routines.
- Support data quality, lineage, access and reconciliation activity where these affect the reliability of monitoring or assurance outputs, working with Technology, data owners and system owners to resolve issues.
- Contribute to the design and implementation of continuous monitoring capability, including automated exception identification, risk indicators and repeatable review processes.
- Assess, test and validate new monitoring, surveillance, automation and AI capabilities before implementation, balancing efficiency and innovation with control, evidential quality and appropriate human oversight.
- Produce clear management information on system performance, alert volumes, data quality, trends, exceptions, escalations and assurance outcomes for senior colleagues and relevant stakeholders.
- Help develop standards, documentation and repeatable practices that allow the wider Risk Assurance & Insight team to use surveillance systems, data, technology and AI confidently and consistently.
Your knowledge and experience
- Experience using technology, data or automation to support and deliver risk-based monitoring, assurance, oversight, audit or control activity, preferably in financial services or asset management.
- Experience performing risk-based monitoring activity, including reviewing alerts and cases, analysing system outputs, identifying potential issues and documenting clear conclusions.
- Experience managing compliance surveillance systems, including trade surveillance, e-communications monitoring, workflow, reporting or other oversight platforms.
- Confidence working with system configuration, rules, parameters, workflows, user access, testing, issue resolution and oversight of system outputs.
- Strong data literacy, with the ability to analyse alerts, cases, system outputs and management information to identify trends, anomalies, exceptions and potential control issues.
- Practical understanding of risk and control concepts, including how technology can support evidence-based assurance, control testing and alert-based review.
- Experience using automation, AI-enabled tools, analytics or low-code/no-code solutions to improve monitoring, assurance or reporting activity.
- Understanding of responsible AI use, including the need for human judgement, validation, data protection, clear records and appropriate challenge of outputs.
- Ability to work effectively with assurance specialists, Technology, data owners and system vendors, translating between business, assurance and technical requirements.
- Strong communication skills, with the ability to explain technical issues, limitations, assurance findings and opportunities clearly to non-technical stakeholders.
The type of candidate that we're looking for
You will be a practical systems, technology and data professional who is comfortable managing compliance surveillance systems and operating in a second-line risk and assurance environment. You will understand how trade surveillance, e-communications monitoring and related oversight systems support risk-based monitoring and assurance activity. You will be able to perform assurance work. This includes reviewing process and control, alerts and cases, analysing system outputs and evidence, identifying trends, anomalies and potential control issues, and documenting clear conclusions. You will be curious and improvement-focused, but disciplined about controls, evidence and accuracy. You will be able to challenge technology and AI outputs rather than accept them at face value. You will understand that AI and automation support professional judgement rather than replace it.
This is not a software development role. It is suited to someone with experience managing or using compliance surveillance systems, working with Technology and data owners, and helping assurance teams make effective use of data, technology and AI.
Critical Skills
- Data literacy
- Digital effectiveness
- Improvement mindset
- Openness and discernment
- Team working
Should you choose to use AI tools to support your application, we ask that you do this thoughtfully. We encourage you to ensure your application reflects your own voice, experience, and motivations. We value authenticity and want to understand your individual strengths and perspectives.
At Baillie Gifford, we are committed to fostering an inclusive and respectful culture in which each of our colleagues can thrive and develop. We believe that our clients are best served by a diverse workforce with the experiences, ideas and perspectives that this brings.
If you are currently working at Baillie Gifford as an employee or contractor please apply to this job from the firm's Workday internal career site.
