Compliance Analyst
2 weeks ago
Why Join Us?
Optima Partners is a unique global firm which understand that its people are its greatest asset. We are therefore 100% committed to attracting and keeping the highest quality people. As a market leading and growing firm with a very flat structure, we offer people the chance to move forward quickly in their career within a meritocratic culture.
The core values that our team share are being proactive, solutions focused, interactive and dynamic in the ever evolving industry that we work in. We seek to encourage new ideas and proactive thinking across all members of the team and constantly invest in new people that share our values.
Optima Partners presents its people with a unique opportunity to work collectively and collaboratively within our global team as well as platform to reap the rewards of strong performance. Optima's experienced global team will accelerate the Analyst's learning and growth by providing frequent training on various topics, shaping the Analyst's learning and growth by providing frequent training on various topics, shaping the Analyst's career path to becoming an expert compliance professional in the financial services industry.
Responsibilities
Compliance Analysts will support Senior Compliance Consultants in developing, implementing and maintaining compliance programs for a variety of regulated investment management firms, including but not limited to:
- Registering clients as regulated entities with the Financial Conduct Authority ("FCA") in the UK
- Developing and implementing compliance policies and procedures
- Preparing and maintaining employee certifications on behalf of clients in accordance with the FCA's Senior Management Certification Regimes ("SMCR")
- Monitoring employee personal trading activities and electronic communications on behalf of clients
- Monitoring expert network call on behalf of clients
- Performing periodic compliance monitoring testing across specific FCA regulatory conduct of business requirements and regulatory themes, such as personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interest, as part of client's compliance monitoring program
- Assisting in annual compliance reviews and mock regulatory thematic reviews and investigations
- Assisting in providing regulatory review support
Requirements
- Recent graduates (2020 and onwards)
- Excellent written and verbal communication skills
- Independent, self-starter, as well as collaborative problem solver
- Strong analytical and research skills
- Ability to multi-task and prioritise across a range of projects with constantly shifting priorities in a team environment
- Ability to master new tasks quickly
Benefits
- CISI Diploma fully funded accept from re-sits
- Private medical
- Hybrid work schedule
January 2025 Start Date
Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.
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