Compliance Analyst - Investment

7 days left

London, United Kingdom
£55,000-£65,000 basic plus package
21 Jul 2022
20 Aug 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our client is looking for a capable Compliance professional to join their team in London - playing a critical role in ensuring the business continues to achieve excellent customer outcomes, whilst protecting the firm against regulatory and conduct risks.

Key responsibilities include:
  • Scope and conduct assigned Compliance reviews on time, observe the firm's Compliance Monitoring Programme, and provide assurance on regulatory risk
  • Verify and provide assurance that the firm's internal policies and procedures meet regulatory requirements, with any potential gaps/deficiencies escalated
  • Produce well written structured reports following assessment of the firm's Compliance methodologies and guidelines
  • Prepare reports capturing relevant Management Information for distribution to relevant governance forums.
  • Perform other general compliance and regulatory tasks as directed by compliance management

Expertise required:
  • 2-5 years of compliance monitoring experience, preferably acquired either within a financial advisory, private wealth management or investment firm
  • Experience scoping and conducting compliance thematic and surveillance reviews
  • Understanding of the methodologies used in compliance for the review and monitoring of operations, i.e. reviewing polices; processes, and the escalation of identified control deficiencies
  • Experience with content of the FCA Handbook; SYSC, COBS DISP, MAR
  • Work collaboratively with individuals at all levels within a business environment including management and department heads
  • Manage complexity and coordinate across several departments under strict timelines
  • Excellent planning and organisational skills.
  • Strong interpersonal and communication skills (verbal and written).

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