Our client, an investment management firm are looking for a Compliance Analyst who will be for assisting with a variety of generalist compliance activities. Responsibilities include reviewing of financial promotion material, responding to client correspondence and AML/KYC checks to ensure compliance with regulatory requirements and to keep abreast of regulatory developments and operating policies. This is a client facing team role with potential to grow into a Consultant and Senior Consultant role quickly.
- Support the Compliance Managers to ensure that the firm and its clients are in compliance with FCA regulatory and compliance rules.
- Manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals.
- Support the compliance team on various client facing compliance projects.
- Prepare documentation in response to client inquiries.
- Organise and participate in client meetings for compliance projects.
- Participate in internal training programs as part of your continuing learning and development program.
Experience and Skills:
- Bachelors degree preference (Law or Business ideally).
- Strong understanding of common industry practice.
- Excellent verbal communication skills, with the ability to translate complex information, analytics and situations into a clear and simple message.
- Strong information gathering, analytical and problem solving skills.
- Highly motivated and organized self-starter with excellent editing and writing skills.
- Ability to build strong working relationships.