Compliance Analyst

Casterbridge is a fast-growing, multi-award-winning investment management firm that has seen rapid success in the 9 years since opening its doors. This highly ambitious group are looking at opportunities to take the business to the next level of expansion and success. The team has been carefully gathered over time to ensure a strong and collaborative team-based culture that is essential to the firm's future success.

Casterbridge takes pride in delivering excellent service, placing the client at the heart of everything we do. Casterbridge are an equal opportunities employer. Job Overview You will provide a second-line support function on regulation and risk matters ensuring the company conducts its business in a compliant manner. Working with all areas of the business to raise and maintain focus on risk and a compliance control framework. To help promote good culture and practices throughout the business considering the impact to clients to ensure appropriate and fair outcomes.

Responsibilities and Duties

General Responsibilities

• Assist the Compliance Officer in their role as SMF16 (Compliance oversight) and act as deputy MLRO (Money Laundering Reporting Officer).
• Assist the Compliance Officer in administering an effective scheme of control & monitoring across the business.
• Design and implement business processes.
• Manage risk within the business through identification and establishment of new controls.
• Keep up to date with regulatory and industry developments.
• Provide cover and support for the Compliance Officer as appropriate.
• Liaise with key stakeholders, senior managers and board members in respect of regulatory and business issues.
• Communicate and escalate issues or matters which cannot be resolved at Manager level.
• Assist in making all appropriate notifications to the FCA.
• Contribute to the department and firm objectives.
• Produce detailed and appropriate MI to the Compliance Officer.
• Liaise with key stakeholders to implement system enhancements to improve systems and controls.
• Conduct system usage checks.
• Ensure team knowledge and competence is sufficient, providing support and training to Operational managers and team members.
• Take lead role on relevant business committees.
• Actively support or deputise for business risk manager.

Compliance Monitoring Responsibilities

• Apply a risk-based and common-sense approach to the compliance monitoring process.
• Apply a risk mitigating structure of compliance and business controls.
• Undertake regular reviews of business statistics, ensuring that data and management information in respect of investment management is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly.
• Consider and develop the internal monitoring structure and effectiveness of controls.

Ad-hoc Responsibilities

• Take on tasks and projects as delegated by the Compliance Officer or develop tasks which are deemed necessary due to other influences or circumstances beyond Compliance or Operational team remit, applying an authoritative, can do attitude and a timely approach.
• Update manuals, procedures, policies and company documentation as required.
• Attend events, seminars, training, regulatory workshops, etc. as deemed necessary.
• Complete tasks to a high standard and apply initiative to accommodate for wider issues.
• Ensure adherence to in-house compliance procedures and rules / attend annual compliance briefing.
• Ensure adherence to and familiarity with regulatory guidelines (FCA) and rules as specified by external bodies relevant to your area.

Authority and Control

• Responsible to the Executive Board for deputy overall control and management of Compliance.
• Self-organisation and prioritisation of several varied tasks is required on a daily basis.
• Independent decision making is frequently required

PERSON SPCIFICATION

ESSENTIAL

Qualifications -

Minimum of notable & credible investment qualifications covering management, investment management.

Regulated CR [and maintains Statement of Professional Standing in line with professional body requirements.]

A willingness to undergo further personal and professional development.

Knowledge -

Demonstrate detailed knowledge of FCA rules and their interpretation/application.

Demonstrate an understanding of contracts and relevant documentation

Experience -

Proven recent relevant experience in similar Compliance/Risk role in an FCA regulated firm.

Skills/Qualities -

Demonstrate the ability to train and motivate others whilst remaining flexible/adaptable.

Demonstrate the ability to deliver regulatory projects within external deadlines.

emonstrate highly developed analytical, observational and communication skills.

Demonstrate intermediate to advanced knowledge of Excel and Word.

DESIRABLE

Qualifications -

CISI Level 4 IAD

CISI Level 6 Investment Compliance Diploma

Experience -

2 to 5 years' experience in a compliance, controls, business assurance or equivalent type role

Salary range is £30,000-£36,000 per year, dependant on experience.

Please contact for further information and/or a copy of the Job Description and Person Specification.

Job Types: Full-time, Permanent

Pay: Up to £36,000.00 per year

Benefits:

• Additional leave
• Company events
• Company pension
• Life insurance
• Work from home

Licence/Certification:

• Investment Qualification (inc investment management) (required)

Work authorisation:

• United Kingdom (required)

Work Location: Hybrid remote in Wiltshire, SP1 2AP