Senior Compliance Analyst (Private Banking) - FTC
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.
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.
- 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