Compliance Analyst - West Sussex - Fast paced Investment Platform
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.
- 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.