Compliance Analyst

2 weeks ago

Basildon Essex, United Kingdom SS&C Technologies Full time

SS&C seeks a Compliance Monitoring Analyst to join our team. You will Be a trusted business partner with the capacity to get things done, through persuasion, collaboration and effective communication. You will deliver the compliance monitoring plan, to an agreed timetable. From time-to-time, you may be called upon to support the Compliance team on other activities.

About SS&C Technologies

SS&C is a global provider of investment, financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, manage and account for their investments using SS&C's products and services.

Key responsibilities

Undertaken business intelligence to scope out / prepare compliance monitoring terms of reference and set up a plan for delivery of agreed monitoring reviews. Conduct regular monitoring reviews and thematic monitoring reviews; undertaking the fieldwork, recording evidence and reaching conclusions on the effectiveness of controls. To draft, deliver and agree monitoring reports with key business stakeholders. To on agreed management actions to closure. Produce a monitoring report; draft report findings / conclusions and agree management actions with the key business stakeholders. Track (record, monitor and report) management actions to satisfactory conclusion. Promote a strong compliant culture within the business.

Standards

  • Deliver activities to agreed target dates
  • Deliver activities to high standards and accuracy of data and information
  • Complete required continued professional development (CPD)
  • Comply with company policies and procedures
  • Behaviours as set out in the company handbook and culture, mission and strategy document

Essential skills

  • Able to work independently, with minimal supervision.
  • Able to prioritise & work to strict deadlines.
  • Attention to detail.
  • Strong written and verbal communication skills.
  • Good stakeholder management, at all levels.
  • Able to persuade and influence.
  • Good numeric skills.
  • Able to problem solve.
  • Good knowledge of Microsoft Excel, Word and PowerPoint.

Qualifications

  • 5 GCSE’s Grade A - C (must include Mathematics and English)
  • Completion or working towards the Investment Operations Certificate (IOC)

Experience

  • Compliance monitoring experience.
  • Fund operations (UCITS / AIFS) experience
  • Good knowledge of FCA CASS handbook rules

Personal Qualities

  • Work collaboratively as part of a team
  • Able to work under pressure
  • Positive attitude

SS&C quality

All employees are accountable for the delivery of a Quality service, driving for excellence in all their work activities:

To be quality driven, aiming for 100% accuracy and timeliness of delivery.

To effectively plan the way services are delivered so that all activity is directly related to providing quality services and meeting the expectations of the customer.

To continuously review processes and practices relating to the role and act as a catalyst for change and improvement in individual and team performance.

To observe proper standards of market, business, and personal conduct, demonstrating integrity in the execution of duties.

To communicate and promote the values which reinforce and support a consistent quality culture.

We encourage applications from people of all backgrounds and particularly welcome applications from under-represented groups, to enable us to bring a diversity of perspectives to our thinking and conversation. It's important to us that we strive to have a diverse workforce in the widest sense.

Unless explicitly requested or approached by SS&C Technologies, Inc. or any of its affiliated companies, the company will not accept unsolicited resumes from head-hunters, recruitment agencies, or fee-based recruitment services.

Background Checks

All offers of employment at SS&C are subject to background verification checks, including 5-year employment history, proof of eligibility to work in the hiring location, proof of address, credit check and criminal record check (where permitted by local law). The accuracy of all information you submit as part of your application is vital and may be used as part of the background-checking process should you be successful.

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