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Compliance Analyst

Chadwick Nott
Closing date
7 Jul 2022

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Technology & New Media
Contract Type
Full Time
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Our client a private equity investor are looking to hire a Compliance Analyst on a permanent basis

Key competencies and experience:

* At least 2 years' experience working in a Compliance team of an UK FCA regulated business;
* Knowledge of UK and European financial services and data protection regulations and legislation;
* Excellent English written and verbal communication skills;
* A background managing AML/KYC requests
* Strong interpersonal skills and an ability to interact with senior members of the leadership team and other members of Legal and Compliance;
* Proven intellectual capability, comfortable with a diverse workload, and the ability to work both independently and as part of a team;

Main duties and responsibilities:

* Prompt management of inbound and outbound AML/KYC requests, liaising with the investment teams and external parties, utilising due diligence software to produce reports and structure charts as required;
* Working closely with the HR team to add and remove employees from all necessary software, compliance systems and the FCA register, including the delivery of on-boarding training and the gathering of all necessary assessments and documentation;
* Administration of the Firm's internal and online compliance systems and portals;
* Maintaining Senior Managers & Certification Regime ("SMCR") controls, ensuring internal records are kept up to date;
* Assisting with and improving the compliance monitoring programme across the group entities;
* Supporting the Legal and Compliance team's analysis of forthcoming regulations, including the maintenance of Firm's regulatory watchlist and tracking associated actions;
* Drafting clear and succinct internal reports, memos and conflict notes for a range of stakeholders, including the Money Laundering Reporting Officers and Compliance Officers for relevant businesses;
* Implementing and tracking mandatory compliance training across the Group;
* Gathering documentary evidence of compliance for annual reviews, liaising with the business and external compliance consultants as necessary;
* Collating information for monthly and quarterly meetings and committees, drafting of agendas and minutes where required;
* Ensuring periodic internal declarations and questionnaires are issued and completed in a timely manner;
* Supporting the wider Legal & Compliance team with oversight of non-UK entity compliance and regulatory obligations;
* Maintenance of the groups suite of governance framework documents and drafting of new policies and procedures where required; and
* Supporting the Company Secretarial function with Board and Committee pack creation, minute taking and action coordination.

The role would pay circa 40K + Benefits.

If you feel you have the skills and experience to be suitable for this role please send your CV for consideration

*Where a level of experience is indicated, this is a guideline only and represents the amount of time we would usually expect a candidate to accumulate the requisite level of experience. This does not preclude applications from candidates with more or less experience.

Chadwick Nott Ltd is acting as an Employment Business in relation to this vacancy.
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