Senior Compliance Analyst

3 weeks ago


Bristol, United Kingdom Robert Half Full time

Compliance Analyst - Wealth Management Bristol Area (1-2 days a week in office)
£35k - £45k DoE
Minimum of 1-2 years experience within Compliance or as a Paralegal

Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty requirements. Working closely with the Group Head of Compliance, they will be instrumental in ensuring strict adherence to regulatory mandates while championing excellence in customer outcomes and customer service.

The primary focus will centre on ensuring compliance with the Consumer Duty specifically within the advisory functions of the organisation. This entails providing robust support to our advisors, ensuring they uphold the highest standards of advice quality and professionalism through comprehensive training and competence programs. The analyst’s efforts will be essential in safeguarding both regulatory compliance and our clients' best interests, reinforcing our reputation as a trusted financial services provider.

Key Responsibilities:
Conduct regular reviews and assessments of financial advice processes and client interactions to ensure compliance with regulatory requirements (Consumer Duty specifically) and internal policies.
Provide guidance and support to staff members regarding compliance issues, particularly related to financial advice and customer interactions.
Collaborate with the Group Head of Compliance to identify areas for improvement in processes and procedures related to financial advice and customer outcomes.
Assist in the development and delivery of training programs to ensure staff members are knowledgeable and competent in providing quality financial services to clients.
Monitor industry trends and regulatory developments related to financial advice and customer outcomes, and implement necessary changes to ensure compliance.
annual certification oversight, including liaison with adviser manager and head of compliance regarding training needs, CPD auditing, Statement of Professional Standing renewal oversight, etc.
on projects as required by the group head of compliance.
issues to the group head of compliance.

Requirements:
~1-3 years compliance experience.
~ This includes compliance experience in a paraplanner role (or similar)
~ Collaboration, listening and empathy skills essential.


Preferred Qualifications:
~ Level 4 Diploma qualification preferable.


Competencies:
Excellent communication skills.
Ability to operate both independently and collaboratively.
Strong understanding of financial products and services.
Analytical thinking and problem-solving skills.


  • Compliance Analyst

    3 weeks ago


    Bristol, United Kingdom Robert Half Full time

    Compliance Analyst - Wealth Management Bristol Area (1-2 days a week in office) £35k - £45k DoE Minimum of 1-2 years experience within Compliance or as a Paralegal Role Overview: The Compliance Analyst will assume a pivotal role in our commitment to regulatory compliance and fostering positive customer outcomes under the FCA’s Consumer Duty...


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst.This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst....


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst. ...

  • Senior Data Analyst

    1 month ago


    Bristol, United Kingdom Ecosurety Full time

    Ecosurety are looking for a talented Senior Data Analyst to help deliver key client analytics, data projects and insight. This opportunity is perfect for someone looking to fast track their personal development at the same time as being able to put theirown stamp on our approach to data and analytics. Your primary responsibility will be around the delivery...

  • Finance Analyst

    3 weeks ago


    Bristol, United Kingdom Michael Page Full time

    Based in Bristol on a hybrid basis, the Commercial Finance Analyst will be working with senior stakeholders to drive business performance. Our client is based in Bristol and due to business growth, are currently looking to hire a newly created Commercial Finance Analyst on a permanent basis. The Commercial Finance Analyst will be responsible for; ...


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing...


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing...


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst . ...


  • Bristol, United Kingdom Sellick Partnership Full time

    Senior Pricing Analyst sought for by a market-leading General Insurer. Our client is seeking a candidate who has strong software skills to join them as a Senior Pricing Analyst. This is a fantastic opportunity for a candidate who has experience in a Non-Life Pricing or data driven role to join a market-leading insurer as a Senior Pricing Analyst . ...

  • Senior Analyst

    1 month ago


    Bristol, United Kingdom Gregory-Martin International Full time

    Operational Analyst / Senior Consultant - Defence sector Our client is a successful technical consultancy providing professional services and are a technology partner to global, defence, energy, space and intelligence & communications companies As an Analytical Consultant, you will be providing the evidence to help the MOD/Government to make better...


  • Bristol, United Kingdom Hays Specialist Recruitment Limited Full time

    Senior Business Analyst Interim Senior Business Analyst with Management (SIEM) & Security Operations Centre (SOC) experience required for immediate start. Your new company Our client who is a leading technology organisation is looking for an interim Senior Business Analyst with Management (SIEM) & Security Operations Centre (SOC) experience to join on an...

  • Finance Analyst

    3 weeks ago


    Bristol, United Kingdom Michael Page (UK) Full time

    Our client is based in Bristol and due to business growth, are currently looking to hire a newly created Commercial Finance Analyst on a permanent basis. The Commercial Finance Analyst will be responsible for; Setting pricing and promotional frameworks in partnership with the Commercial team, monitoring subsequent performance and providing insight...

  • Senior BI Analyst

    4 weeks ago


    Bristol, United Kingdom ADLIB Full time

    **Senior BI Analyst** **Leading Investment Manager**: - **Join during a point of serious growth and investment in data within the company**: - **Opportunity to grow your career with amazing progression opportunities.**: - **Great chance to mentor and develop junior team members** You’ll be joining a leading investment management at a fantastic time,...

  • Senior FP&A Analyst

    6 days ago


    Bristol, United Kingdom Coyne & Associates Limited Full time

    Company International consumer business located in Bristol has a newly created role for a Senior FP&A Analyst to play a key role in the wider finance functional transformation, identifying opportunities to leverage new systems to improve insight driven reporting. The Senior FP&A Analyst will provide best practice commercial finance support through robust...

  • Senior FP&A Analyst

    2 weeks ago


    Bristol, United Kingdom Coyne & Associates Full time

    International consumer business located in Bristol has a newly created role for a Senior FP&A Analyst to play a key role in the wider finance functional transformation, identifying opportunities to leverage new systems to improve insight driven reporting. The Senior FP&A Analyst will provide best practice commercial finance support through robust reporting,...


  • Bristol, United Kingdom Osborne Clarke Full time

    Description We have an exciting opportunity for a Senior Finance Analyst to join our dynamic Finance Team. As Osborne Clarke embark on an exciting period of change with the imminent move to a new practice management system (PMS), we are looking for an experienced Senior Finance Analyst to help design and develop insightful Management Information reports,...


  • Bristol, United Kingdom Gregory-Martin International Full time

    Operational Analyst / Senior Consultant – Defence sector Our client is a successful technical consultancy providing professional services and are a technology partner to global, defence, energy, space and intelligence & communications companies As an Analytical Consultant, you will be providing the evidence to help the MOD/Government to make better...


  • Bristol, United Kingdom Gregory-Martin International Full time

    Operational Analyst / Senior Consultant – Defence sector Our client is a successful technical consultancy providing professional services and are a technology partner to global, defence, energy, space and intelligence & communications companies As an Analytical Consultant, you will be providing the evidence to help the MOD/Government to make better...


  • Bristol, United Kingdom WORK WITH APTITUDE LTD Full time

    WWA has partnered with a giant in the energy sector that aims to build a diverse and inclusive movement: teams of brilliant people, with unique talents, skills, passions, and experiences. They are looking for a Senior Analytics Analyst who can build and own a suite of analytical tools to support the team and wider business. This includes: ? Reporting...


  • Bristol, United Kingdom Computerworld Personnel Ltd Full time

    Senior Systems Analyst - London (Hybrid) - £70k-£80k I am seeking a Senior Systems Analyst and reporting Analyst for a scale-up investment firm based in central London. They offer a fantastic career progression path as the firm is evolving and growing quickly to keep up with demand from their ever-increasing client book. They offer an unrivalled...