Compliance Analyst

Clever HR
Horsham, UK
16 Jun 2019
18 Jun 2019
Contract Type
Level of qualification
Newly qualified, Qualified
Compliance Analyst Horsham £25,000 - £28,000 We are representing a dynamic, market leading organisation that is going through an exciting period of growth. The business creates bespoke, cloud-based technology solutions to support Financial Services firms. This unique combination of wrap platform, discretionary and investment management allows its clients to deliver a high-class service to their clients. Key

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. About You: 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. 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. Previous compliance experience, ideally in an analytical role is highly desirable CISI IOC qualification is highly desirable, if you do not possess this qualification you must be willing to work towards this