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Compliance Analyst

Employer
Clark James recruitment
Location
Horsham, UK
Salary
Competitive
Closing date
Jun 17, 2019

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Job Role
Compliance Accountant
Sector
Finance
Contract Type
Permanent
Hours
Full Time
Working on behalf of a highly reputable client, who power bespoke wealth management and technology solutions for discretionary fund managers, national financial advisers and networks, we are seeking a Compliance Analyst to be based in their new offices on the outskirts of Horsham. Our Clients' Group companies bring together all the jigsaw pieces in an otherwise fragmented industry. Their best-in-class technology solutions, discretionary platform and support services provide competitive advantage to over 120 leading National and Regional firms. As Compliance Analyst, you will be working as part of the second line compliance function, providing assurance, advice and guidance to the wider business to support the company's obligations regarding UK and EU regulatory systems. Key responsibilities will include: 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. To be considered for this role, it is essential you have good knowledge of FCA rules and their interpretation/application. You will also have good knowledge of retail investments, savings and pensions, coupled with data protection. You will also be competent with Microsoft Office programs and be a highly analytical and observational individual. You will have a good knowledge of financial services, preferably with a background in investment and/or a platform based environment, preferably having already worked in an analytical role 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. Please note 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.

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