Senior Compliance Analyst

3 weeks ago

London Area, United Kingdom Compliance Professionals Full time

THE COMPANY:

Our client is an international financial services firm, specializing in providing mortgage and wealth management solutions to clients.

THE RESPONSIBILITIES:

  • Offering subject matter expertise on the interpretation and application of local and Group compliance policies and standards.
  • Supporting with the review and approval of new and existing client relationships.
  • Assisting with performing 2nd Line Testing on 1st Line of Defence functions.
  • Preparing and delivering relevant training to employees.
  • Preparing memos for governance approval or review.
  • Reviewing escalations and triaging them appropriately.
  • Receiving and preparing data required to fulfil MI requests.
  • Assisting with testing compliance-owned systems and methodologies.
  • Maintaining all business-as-usual compliance registers.
  • Tracking emerging risk and regulatory publications.
  • Maintaining up-to-date knowledge of regulatory requirements.
  • Preparing responses to enquiries from law enforcement and regulatory authorities.
  • Reviewing escalated screening and enforcement alerts.
  • Identifying data quality issues.
  • Reviewing marketing communications.
  • Supporting the compliance team with other ad hoc tasks and projects as they arise.

EXPERIENCE REQUIRED:

  • A minimum of five years' experience in a risk or compliance role within a financial services organisation, ideally banking or lending.
  • Relevant industry qualifications with respect to regulatory compliance, financial crime and/or risk (desirable).
  • Strong verbal and written communication skills in English.
  • Strong knowledge of applicable UK legislation and regulations in particular FCA rules.

For further information please contact Duncan Jeffery

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