Senior Compliance Analyst
2 weeks ago
Our client is currently looking to recruit for a Senior Compliance Analyst working within a large financial services company. The Senior Compliance Analyst will be responsible for supporting a team of file checkers in reviewing financial advisor documentsto ensure FCA compliance guidelines are met. The Senior Compliance Analyst will proactively demonstrate where compliance regulations haven't been met and how these problems can be resolved.
**Responsibilities for the Senior Compliance Analyst**:
- Support the team of file checkers to challenge compliance needs of documentation sent through from financial advisors
- Proactively call paraplanners to discuss missing or wrong information on documents
- Demonstrate where information is incorrect and what needs to be done to change or improve it
- Analise documents and information to ensure FCA compliance guidelines are being met
**Experience required for the Senior Compliance Analyst**:
- Financial Services or regulated background
- FCA Compliance experience
- Complaints handling
- Data Analysis
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