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Compliance Analyst
2 months ago
This will be an excellent opportunity to join an exciting growing organisation where development and growth is encouraged.
Key competencies and experience:
At least 1-2 years' experience working in a Compliance team of an UK FCA regulated business.
Some knowledge of UK and European financial services and data protection regulations and legislation.
Excellent written and verbal communication skills.
Some AML / KYC experience is desirable.
The ability to work both independently and as part of a team, and prioritising tasks and manage personal workloadProven intellectual capability with an aptitude and keenness for learning, critically assess issues and owning a diverse range of compliance topics.
Strong interpersonal skills when interacting with a range of seniorities, including senior members of the leadership team.Quick to adapt to an ever-changing, fast-paced environment.
Advanced knowledge of Microsoft Office products (Excel, PowerPoint, Word, Outlook, Teams).
Main duties and responsibilities:
Working closely with the HR team to on-board and off-board employees, including making any required amendments to the FCA register.
Administration of the Firm's internal and online compliance systems and portals, including but not limited to the implementation and tracking of completion of mandatory compliance disclosures, declarations and training across the group.
Performing internal Senior Managers & Certification Regime ("SMCR") controls, ensuring internal records are kept up to date.Assisting with and enhancing the compliance monitoring programme across group entities.
Supporting the Compliance team's analysis of forthcoming regulations, including the maintenance of Firm's regulatory watchlist and tracking associated actions.
Drafting clear and succinct internal reports, memos and conflict notes for a range of stakeholders, including the Money Laundering Reporting Officers and Compliance Officers for relevant businesses.
Gathering documentary evidence of compliance for annual reviews, liaising with the business and external compliance consultants as necessary.Assisting in the collation of information for quarterly meetings and committees where required.
Supporting the wider Compliance team with oversight of non-UK entity compliance and regulatory obligations.
Assisting with the prompt management of inbound and outbound AML/KYC requests, liaising with group investment teams and external parties, utilising due diligence software to produce reports as required.
Maintenance of groups suite of governance framework documents, supporting with the drafting of new policies and procedures where required.Supporting the Company Secretarial function with maintenance of the group corporate document and structure management system.
This is a permanent opportunity paying circa 45-50K.This will be a hybrid role requiring 2-3 days based from the central London office.
If you feel you have the skills and experience to be suitable for this role please send your CV for consideration.*Where a level of experience is indicated, this is a guideline only and represents the amount of time we would usually expect a candidate to accumulate the requisite level of experience.
This does not preclude applications from candidates with more or less experience.Job Tenure:
Permanent and Full-Time
Salary:
£ £50000 per annum
Location:
London,
