Senior Compliance Analyst

1 month ago

Witney, United Kingdom CV-Library Full time

Senior Compliance Analyst

Witney

£48,000

💫 Non Contractual Company bonus

💫 Holiday – 25 days per year plus bank holidays

💫 Increasing to 27 days after 5 years’ service

💫 Smart Pension scheme

💫 Phantom share scheme

💫 Private Medical Insurance

💫 Salary sacrifice scheme

💫 Life assurance

The Burford Recruitment Company is proud to partner with our client, a prestigious financial services business, in seeking a skilled and experienced Senior Compliance Analyst. This is an exciting opportunity for a highly motivated professional to play a key role in ensuring that the business complies with regulatory requirements and internal policies in the retail financial services sector.

Key Responsibilities:

* Implement objectives outlined in the Compliance policies and Compliance Monitoring Programme.

* Assist the Compliance Officer in maintaining effective systems and internal controls to mitigate risks such as client losses, errors, irregularities, or fraud.

* Monitor business operations to identify weaknesses in internal controls, ensuring prompt remedial action is taken.

* Keep track of legislative changes and ensure compliance with all regulatory regimes.

* Assist in identifying, investigating, and resolving rule breaches and ensure compliance with reporting requirements.

* Provide advice and coaching to employees to support process improvements that align with regulatory standards.

* Coordinate the handling of client complaints and contribute to the development of internal systems to meet regulatory obligations.

* Maintain confidentiality in all tasks and ensure compliance with Health and Safety requirements.

* Conduct an annual review of the Business Continuity Plan (BCP).

* Contribute to updating the Procedures Manual and recommend improvements to systems and procedures.

* Participate in relevant in-house or external training and attend seminars to stay updated on industry developments.

* Retain a record of Continuing Professional Development (CPD) and attend relevant working groups.

* Ensure the company’s high standards of client care are met.

* Comply with the Data Protection Act and maintain confidentiality of client information.

* Adhere to the FCA’s Treating Customers Fairly (TCF) requirements.

* Ensure compliance with FCA regulations, Courtiers’ Anti Money Laundering requirements, and data protection policies.

* Maintain records in line with compliance manuals and procedures.

Skills and Knowledge Requirements:

* At least 4 years of experience in the financial services industry, with a strong understanding of FCA regulations, UCITS, and AIFMD regulations.

* Knowledge of Risk-Based Compliance Monitoring and FCA Training and Competency rules.

* Exceptional communication and organisational skills, with the ability to manage your workload within a small team.

* Proficiency in Microsoft Office (Word, Excel, Outlook); experience with intelligent office systems is desirable.

* Ideally educated to degree level, with a relevant industry qualification such as CISI Investment Operations Certificate (IOC) or equivalent. Strong industry experience will also be considered.

* Strong regulatory awareness and the ability to work under pressure.

This is a fantastic opportunity for an experienced compliance professional to further develop their career in a fast-paced, dynamic environment. Apply today to become a key player in ensuring regulatory excellence within this leading financial services organisation

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