Compliance Analyst

05 Feb 2017
05 Mar 2017
Contract Type
Full Time

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.

Responsibilities include:

  • 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.