Working on behalf of a highly reputable client, who provide a unique combination of wrap platform, discretionary management and investment management services to create a fully integrated, bespoke technology solution, we are seeking a Compliance Analyst to be based in their head office in Horsham.
As part of the Company’s second line compliance function, the Compliance Analyst will provide assurance, advice and guidance to the wider business to support compliance with the Company’s obligations in regards both the UK and the EU regulatory system.
Key Activities & Responsibilities:
- Ownership of the comprehensive scheme of compliance monitoring across the platform, in accordance with both regulatory and internal standards.
- Ownership of regular quality reviews across all areas of the business, including analysis, communication, resolution process and record retention.
- Conducting case reviews (AML, PEP, Fraud, Insider Dealing, etc.)
- Complete enhanced due diligence and monitoring processes, including risk assessments.
- Compliance administrative tasks.
- Conducting activity reviews and identifying associated trends.
- First line escalation point for compliance queries (including AML referrals).
- Planning and ownership of projects and ad-hoc tasks as required by management.
- Attend meetings and compile minutes where required.
- Set-up and ongoing maintenance of Compliance rules.
- Identify and communicate system and procedure enhancements to management.
- Identifying trends to help facilitate service and training improvements.
- Assist in the update of compliance documentation.
- Assist with handling complaints.
- Liaise effectively with senior management.
- Provide support where it is required by the business, including to other team members, other teams or in extreme cases to the wider business.
The successful candidate will be/have:
- Good knowledge of FCA rules and their interpretation/application.
- Good knowledge retail investments, savings and pensions.
- Good knowledge of Data Protection requirements
- Ability to communicate with others confidently whilst remaining flexible/adaptable.
- Highly developed analytical, observational, written and verbal communication skills.
- Competent with Microsoft Office programs.
Essential – Good experience within the financial services, preferably in an investment and/or platform-based environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
Desirable – Previous compliance experience, ideally within an analytical role.
Desirable – CISI IOC qualified (or equivalent) or the desire to work towards this.
- Desire to self-improve and broaden knowledge.
- Ability to manage own workload
- Excellent attention to detail
- Problem solving
- Inquisitive and analytical mind
This is a fantastic opportunity for someone wanting to join a successful company who can provide full support and training, with excellent benefits and the opportunity to develop a successful career.
Liability and Disclaimer
The information contained in our advert including any salary or on target earnings information is given in good faith and Clark James Ltd uses all reasonable efforts to ensure that it is accurate. However, Clark James Ltd gives no representation or warranty in respect of such information and all such representations and warranties, whether express or implied, are excluded. No liability is accepted by Clark James Ltd for any loss or damage which may arise out of any person relying on or using any information within this advert.
All applications received will be dealt with in the strictest confidence
Due to the volume of applications received we will be in touch if your application has been successful within 7 working days. If you have not received any communication within this time, please assume you have been unsuccessful on this occasion, but the information may be retained in connection with future opportunities.