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Compliance Analyst
2 weeks ago
Equifind have teamed up with a financial services firm in London, who are looking to add a compliance analyst to join the business.
The business has recently enjoyed some fresh investment, so they are looking to add to the team to match this appetite to grow over the next yea
r.
As a compliance analyst you will support the chief compliance officer with all the junior elements to ensure a robust compliance function. This will involve onboarding clients, ALM processes and everything else compliance relat
ed.
Key duties and responsibilities for this compliance analyst position incl
- ude:Manage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal poli
- ciesComplete due diligence checks on potential clients to identify and mitigate risks associated with AML and KYC regulations. Verify client information and perform background checks using internal and external data sou
- rcesProvide client support in the team and act as a primary point of contact for clients throughout the onboarding process, addressing their inquiries, providing guidance, and resolving any issues that may a
- riseStay up to date with relevant regulatory compliance requirements and industry best pract
- icesManagement and enhancement of internal compliance monito
- ringOversight of the firm’s governance structures including the SMCR frame
- workCustody oversight (client money and client ass
- ets)Ensure the compliance monitoring of appointed representatives is up to
- dateAssist with risk management pract
ices
Experience & Qualifi
- cations2-4 years’ practical experience in a compliance/onboarding p
- ositionA basic understanding of compliance and onb
- oardingKnowledge of private equity or venture capital would be a b
- ig plusExcellent communication and interpersonal
- skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effe
- ctivelyProficiency in using multiple CRM
- systemsKnowledge of FCA industry standards, regulations, and anti-financial crime
matters
The Org
anisationA great name in the financial services space with a focus on offering a wide range of products and services to its client base. The founders have a real desire to offer maximum value to customers and provide them with the best tailored s
olutions.
The senior management has a great track record and there is a strong emphasis on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer
experience.
The office has a great family feel to it, so you will be joining a business where everyone works closely and has a voice, and is encouraged to share
their views.
You will support the chief compliance officer with everything compliance related, so you must be interested in an exceptionally broad role that will offer you as much growth as you want. This is a real hands-on position, in a true SME, where you will support an experience compliance officer,
and le
arn from.
SalaryThis exciting opportunity for a compliance analyst will ideally start in t
he next few weeks
We will be looking at candidates in the range of £45k-£55k, depending on individual backgrounds, qualifications, and ye
ars of experience.
This is a hybrid opportunity and three days per week in the London
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