Compliance Analyst

Coast Specialist Recruitment
Horsham, UK
20 Jun 2019
01 Jul 2019
Contract Type
Full Time
A Financial Services organisation has an excellent opportunity for a Compliance Analyst to join their Horsham office.

The successful candidate will be a pivotal part of the second line compliance function and will provide assurance, advice and guidance to the wider business to support compliance in regards both the UK and the EU regulatory system.

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.
  • Conducting case reviews (AML, PEP, Fraud, Insider Dealing, etc.)
  • 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 (including AML referrals).
  • 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.
  • Assist in the update of compliance documentation.
  • Assist with handling complaints.
  • Provide support where it is required by the business, including to other team members, other teams or in extreme cases to the wider business

  • Good knowledge of FCA rules and their interpretation/application.
  • Good knowledge retail investments, savings and pensions.
  • Good knowledge of Data Protection requirements
  • Ability to communicate with others confidently whilst remaining flexible/adaptable.
  • Highly developed analytical, observational, written and verbal communication skills.
  • Competent with Microsoft Office programs
  • Good experience within the financial services, preferably in an investment and/or platform-based environment with a good understanding of FCA/PRA regulatory expectations and compliance requirements

If you would like to apply for this vacancy, please contact Karen Halliday

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