Senior Compliance Analyst (Private Banking) - FTC

London, South East England
11 Jun 2017
11 Jul 2017
Contract Type
Full Time

Our Client

Our client is a well-regarded, fast growing and entrepreneurial financial services organisation who provide private banking, wealth management and financial planning from their offices throughout the UK. They are looking to bring in a compliance specialist to provide maternity cover on a 12 month fixed-term contract.

The Role

Supporting the Head of Compliance in maintain the Bank’s ComplianceFramework andpromotinga strong compliance culture, ensuringthatregulatory and conductrisk is managed effectively.

Your responsibilities will include:

  • Maintaining compliance policies, standardsand& guidelines- assistin developing andmaintaining arobust ComplianceFramework, throughthe effectivecommunication ofcompliance policies,standards andguidance.
  • Oversee the management ofRegulatoryandConductrisks andthe effectiveness of key Compliance Processes andControls, working closely with 1st line business areas and Operational Risk colleagues.
  • Supportingtheestablishmentofkeymetricsandindicatorsformonitoringand reportingcompliance riskexposures against the Board’s risk appetite.
  • Provide technical compliance advice and guidance to the business toassistwiththeir understandingand interpretationof relevant regulatoryrequirementsandthe implementation andembedding of compliance policies andstandards
  • Monitor andassess the scope andimpact of newregulatoryand legislative developments andprovide compliance advice, recommendations and implementation assistance withthe changes necessary tomaintain the appropriateness of the Bank’sCompliance Framework.
  • Assistin maintaining the technical content of compliance training materials and assist in the delivery of compliance training, working closely withHRand the Training and Competency Manager.

Key Requirements

  • Deep understanding andpractical knowledge of FCA handbook and in particular,thetechnical application of COBS, COLL, and SYSC
  • Good understanding of advisory anddiscretionary investmentfund management andrelated products and services
  • Good understanding of front, middle and back office functions, compliance processes, risks and controls
  • Atleast 2 years in aPrivate Bank / Wealth Management or IFA firm (preferred)
  • Atleast 3 years’ experience in a Compliance role atan FCA regulatedfirm.
  • Working on compliance projects and initiatives, including new regulations such as MiFID 2
  • Ability to prioritise tasks, generallywork unsuperviseddelivery focused
  • Ability to build, manage andmaintain relations, particularly with Front Office teams
  • Strong written andverbal communication and presentation skills