Compliance Analyst - West Sussex - Fast paced Investment Platform

Coast Specialist Recruitment
18 Mar 2017
17 Apr 2017
Contract Type
Full Time

My client is a well established Investment Platform provider with offices in the heart of Horsham. Due to their success & continued growth and expansion they are now looking to add a Compliance Analyst to compliment the team.

Main Duties:

  • 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.
  • 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.
  • 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.


  • Good knowledge of FCA rules and their interpretation/application.
  • Good knowledge retail investments, savings and pensions.
  • Ability to communicate with others confidently whilst remaining flexible/adaptable.
  • Highly developed analytical, observational, written and verbal communication skills.
  • Competent with Microsoft Office programs.
  • Essential - Good experience within the financial services, preferably in an investment environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements.
  • Desirable - Previous compliance experience, ideally within an analytical role.
  • Desirable - CISI IOC qualified (or equivalent).
  • Desire to self-improve and broaden knowledge.

Due to the high number of applications received, unfortunately we will only be able to respond to successful applicants.