Compliance Analyst

Recruiter
MERJE Ltd
Location
Bolton By Bowland, UK
Salary
Competitive
Posted
15 Jun 2019
Closes
26 Jun 2019
Ref
1148907935
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
The role will involve assisting the Compliance Team in ensuring the business continues to meet its regulatory responsibilities.

The role will involve:
  • Undertake 'know your customer' and 'anti-money laundering' checks in line with the company's financial crime policies
  • Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks
  • Support the Compliance Manager by undertaking compliance monitoring and preparing reports to management
  • Assist with the update and maintenance of Compliance procedures
  • Assist with general compliance queries
  • Undertake the monitoring and analysis of regulatory change and assessing the potential impact on the business
  • Undertake the review and approval of financial promotions and other customer communications
  • Work on compliance projects, as allocated from time to time.
  • Assist with the preparation for external visits, e.g. Depositary reviews, regulatory visits
  • To identify areas for improvement in the teams' existing processes and procedures and bring them to the attention of the Compliance Manager

Key Requirements:
  • Previous experience in a similar role would be advantageous
  • Completed or working towards IOC (Investment Operations Certificate) would be beneficial.
  • Educated to degree level

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