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Compliance Analyst - Wealth Management

McGregor Boyall
Closing date
29 Oct 2021

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Technology & New Media
Contract Type
Full Time
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Compliance Analyst for a AIM-listed wealth management group with international offices. Hybrid working options availble.


* Maintain and update a full suite of compliance policies and manual

* Ensuring policies are fit for purpose, understood, and followed.

* Management of Companies House filings, FCA registrations, authorisations, and regulatory returns.

* Maintenance of the company errors and breaches log.

* Manage the effective maintenance of the Senior Manager & Certification Regime amongst certified and conduct rule staff.

* Manage the roll out of company-wide compliance training.

* Provide support the Chief Risk officer is his role as Money Laundering Reporting Officer (MLRO) and Data protection officer (DPO)

* Assist with the creation and review of meeting packs for senior executive and Board level committees.

* Assist with announcements and other statutory matters.

* General compliance activities.


* 2-3 years' experience in a compliance role within Financial Services, preferable Wealth Management.

* Familiarity with FCA systems and returns

* Experience of Compliance Policies and Manuals and their maintenance.

* Minute taking and general governance experience.

Desirable experience: * Data Protection * Money Laundering

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.
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