Compliance Analyst

7 days ago

City Of London, United Kingdom Intec Select Full time

Compliance Analyst – FCA Focused


An excellent opportunity has arisen with a global financial services organisation for a Compliance Analyst to oversee the organization’s adherence to FCA regulations and other compliance frameworks, including AML, Anti-Bribery and Corruption (ABC), sanctions, and data protection laws.


Role and Responsibilities:

Regulatory Compliance Management

  • Oversee and manage compliance with obligations set by the Financial Conduct Authority (FCA), ensuring all business operations meet regulatory requirements
  • Monitor regulatory developments, providing advice and guidance to internal teams on implications and required actions
  • Prepare and submit required FCA filings, reports, and notifications within stipulated timelines

Policy and Procedure Review

  • Conduct periodic reviews and updates of company policies and procedures to ensure alignment with AML (Anti-Money Laundering), ABC (Anti-Bribery and Corruption), sanctions, and data protection regulations
  • Identify and address potential gaps in policies, providing recommendations for remediation
  • Ensure consistent communication of compliance policies and standards across the organization

Compliance Monitoring and Testing

  • Support the implementation and delivery of the annual compliance program, including risk assessments, audits, and compliance monitoring plans
  • Track and report on key compliance metrics to senior management, escalating issues as needed
  • Review and improve internal processes to ensure robust controls are in place and adhered to
  • Incident and Breach Management
  • Investigate compliance breaches, drafting reports and implementing corrective actions where necessary
  • Act as a point of contact for internal and external audits relating to compliance matters


Essential Skills and Experience:

  • 3-5 years experience in a compliance-focused role
  • Strong understanding of FCA regulations and obligations
  • Expertise in AML, ABC, sanctions, and data protection frameworks (e.g., GDPR)
  • Familiarity with regulatory reporting and compliance monitoring.
  • Excellent analytical and problem-solving skills with attention to details
  • Strong organizational and project management capabilities
  • Effective communication skills, both written and verbal, to interact with stakeholders at all levels
  • Ability to interpret and apply complex regulations in a practical business context


Excellent basic salary and benefit

London / City

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