Regulatory Compliance Analyst

3 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:



Do not wait to apply after reading this description a high application volume is expected for this opportunity.

We are working with an international multi asset platform who are searching for a Regulatory Compliance Analyst on a 6 MONTH CONTRACT.


THIS ROLE IS NOT AN AML/ KYC VACANCY, CANDIDATES WITH ONLY THIS BACKGROUND AND EXPERIENCE WILL NOT BE CONTACTED.






THE RESPONSIBILITIES:


  • Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business.
  • Assisting in compliance oversight of all activities outsourced to other entities.
  • Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company.
  • Execution of a risk-based compliance monitoring programme in line with regulatory guidelines and in conjunction with business and compliance departments.
  • Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis
  • Compliance oversight of financial promotions issued by the firm.
  • Investigation of suspicious transactions and orders (market surveillance).
  • Assisting in the administration of the Senior Managers and Certification Function Regime.
  • Assisting in the documentation of internal controls, policies, and procedures.
  • Seeking continuous improvement to streamline compliance processes and achieving industry best practice in all related activities (utilising technology solutions where appropriate).
  • Ensuring that the Firm maintains accurate, detailed, and up to date records across all areas of the Firm’s business.










EXPERIENCE REQUIRED:


  • 2+ years’ experience in a regulatory compliance-based role – NOT AML/ KYC.
  • Good exposure and experience with retail investment products, crypto asset experience is highly advantageous.
  • Sponsorship is not offered for this position.














For further information please contact Jordan White

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