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Regulatory Compliance Analyst
2 months ago
Position Overview
We are seeking a skilled Regulatory Compliance Analyst to join our Operations Compliance Team. This role is essential for conducting systematic evaluations of the firm's operational frameworks and controls, ensuring adherence to regulatory standards, and providing expert guidance to the business, particularly in relation to our Pension (SIPP) services.
Key Responsibilities
The successful candidate will be responsible for:
- Conducting thorough regulatory assessments, with a primary focus on FCA and Pension regulations, as well as internal compliance benchmarks.
- Offering pertinent regulatory advice, especially concerning Pension/SIPP matters, while staying informed about regulatory developments that may affect the organization.
- Collaborating with the Compliance Manager to formulate and monitor the Compliance Monitoring Strategy.
- Creating Terms of Reference and Scope documents for assigned reviews, identifying critical risks and controls.
- Delivering timely and concise written reports that summarize findings and provide actionable recommendations for improvement.
- Providing verbal feedback to operational teams and senior management regarding review outcomes.
- Ensuring comprehensive documentation of evidence collected during assessments, supporting the conclusions drawn.
- Tracking and reporting on the status of corrective actions, guiding management in implementing necessary enhancements.
- Generating regular management information reports and summaries for senior leadership review.
- Maintaining up-to-date Continuing Professional Development (CPD) records to demonstrate ongoing skill enhancement.
- Assisting fellow Operations Compliance team members and covering roles as needed.
- Participating in additional projects and tasks as directed by the Compliance Manager.
Qualifications and Experience
The ideal candidate will possess:
- Experience in Compliance Monitoring or Audit, with familiarity in compliance assessment tools and techniques.
- Strong knowledge of retail investment products and personal pension offerings, particularly SIPPs.
- In-depth understanding of relevant FCA regulations and their application, with a focus on Pension compliance.
- Excellent interpersonal and communication skills, capable of building strong relationships with key stakeholders.
- Effective planning and analytical capabilities.
- Proficiency in Microsoft Office applications.
- A commitment to maintaining expertise in line with industry regulations and changes.
Desirable Attributes
Additional qualifications that would be advantageous include:
- Knowledge of the Investment Platform and Pension sectors.
- CISI IOC level 3 qualification (or equivalent) or nearing completion.
Personal Attributes
The successful candidate will be:
- A strong advocate for Treating Customers Fairly principles.
- A collaborative team player.
- Motivated to enhance personal knowledge and skills.
- Able to work independently and manage their workload effectively.
- Detail-oriented with a keen analytical mindset.
- Pragmatic, enabling the business to achieve compliance while succeeding in its objectives.
We are committed to fostering an inclusive environment that values diversity and promotes equal opportunities for all candidates.
