Appointed Representative Compliance Analyst

4 weeks ago

London, United Kingdom Langham Hall Full time

 

Langham Hall is hiring a new analyst in the Regulatory Hosting team to work on Appointed Representative (AR) services. We are a small and collaborative team so are looking for someone who will be a good team fit. This role gives ample opportunities to undertake client facing work and develop key skills in communication, teamwork and lateral thinking. Undertaking a pathway to obtaining professional qualifications is encouraged. Whilst the role description gives an indication of the key attributes and skills needed for this role, we focus on team fit and eagerness to learn, not a particular degree or amount of specific experience

 

Duties and Responsibilities:

  •  Administer Appointed Representative services for a portfolio of clients acting in illiquid asset classes e.g. real estate, private equity.
  • Client relationship management including ongoing multi-channel communication such as face-to-face, telephone and email.
  • Undertake and, in time, take control of the take on and risk assessment process for Appointed Representatives.
  • Completion of all relevant forms and liaison with the Financial Conduct Authority (“FCA”) in relation to the set-up of all Appointed Representatives and approved persons.
  • Ongoing monitoring and oversight of all Appointed Representatives - ensuring controls and procedures are adequate and are being adhered to.
  • Upkeep of all client-related work tracking systems.
  • Assist in the resolution of regulatory issues or queries through research and discussion.
  • Assist in projects to improve service offering.
  • Keep abreast of regulatory changes which may impact the team or Appointed Representatives.
  • Update of policies and procedures to ensure compliance and efficiency
  • Sensitive conversations with our clients will be led by the senior management and will need to be documented by the
  • Analyst who will be required to develop an intimate knowledge of our client’s businesses.
  • Ensuring that all permanent files are adequately maintained for new and existing customers.
  • Delivering work to the expected standard and timeframes.

 

In addition to the duties listed above, the candidate may be requested to perform other ad hoc work from time to time.

Requirements

·       Education to degree level (2:1 and above desirable).

·       Previous experience in FCA regulation would be an advantage however is not essential.

·       High level understanding of the Appointed Representative regime would be an advantage however is not essential.

·       An understanding of the principles of control frameworks and risk management processes.

·       Ability to present information and respond to questions from within the team and from clients.

·       Excellent attention to detail and an inquisitive mind-set.

·       Ability to think laterally about the practical application of the FCA rules and regulations.

·       Ability to solve practical problems and deal with a variety of situations for which there may be little precedent.

·       Ability to work in a small team environment with focused and hardworking individuals.

·       Ability to plan effectively and prioritise workload.

·       The individual must have excellent interpersonal, organisational and communication skills.

·       Strong numeracy and written communication skills.

·       Strong MS Office skills.

 

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