Compliance Analyst

Recruiter
Hays Specialist Recruitment Limited
Location
Bournemouth, UK
Salary
Competitive
Posted
11 Aug 2019
Closes
02 Sep 2019
Ref
1225908324
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Compliance Analyst Job - Up to c£28,000 based in Bournemouth

Your new company
This is a great opportunity to join this niche Financial Services provider based in Bournemouth as a Compliance Analyst

Your new role
Will support the Compliance Management team by;
  • Conducting reviews of activities and functions in accordance with company and regulatory policy to determine if processes are compliant with regulations and controls are being followed.
  • Drafting reports / findings on areas that need to be improved. Producing and maintaining accurate and timely records and reports reflecting the monitoring activities undertaken.
  • Follow through with the business areas to agree action plans and log these actions for regular tracking purposes. Following up outstanding actions with the action owners.
  • Monitoring and reviewing incidents / breaches and complaints, ensuring route cause analysis and preventative measures have been appropriately considered. Determining if any new controls are required.
  • Reconciling breaches on register with depositary breaches and taken any appropriate action regarding differences.
  • Providing support on financial crime matters as required by the MLRO and the Compliance Manager.
  • Monitoring, updating and producing policies, procedures, website disclosures, forms (e.g. individual's declarations), training materials and other documents
  • Identifying new regulatory changes and producing gap / impact analyses
  • Supporting the process to complete FCA reporting (e.g. Gabriel) on time. Assisting with FCA notifications / communications, as required.


What you'll need to succeed
You will ideally come from a compliance function from within the financial services market with an understanding of:
  • Compliance and financial crime in an FCA regulated firm, any associated exams, is desirable.
  • Demonstrate the ability to understand new activities and conduct monitoring of those activities against relevant requirements (e.g. regulations, risk).
  • Demonstrate an interest in investment and fund regulation.
  • A good working knowledge of asset management regulation is desirable, particularly COLL, FUND and COBS


What you'll get in return
A salary of up to £28,000 based on experience plus company benefits

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

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