Compliance Analyst

Hays Specialist Recruitment Limited
Bournemouth, UK
11 Aug 2019
02 Sep 2019
Contract Type
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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