Compliance Analyst - Horsham - c£28,000

Job Title: Compliance Analyst - Horsham - c£28,000
Contract Type: Permanent
Location: Horsham, West Sussex
Salary: £20000 - £28000 per annum + 22 days holiday,pension, shares,healthcare
Start Date: ASAP
Reference: BB2929_1560528754
Contact Name: Tanya Etheridge
Contact Email:
Job Published: June 14, 2019 17:12

Job Description

Compliance Analyst

Key Responsibilities:

  • 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.
  • 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.
  • Identify and communicate system and procedure enhancements to management.
  • Identifying trends to help facilitate service and training improvements.
  • Assist in the update of compliance documentation.
  • Assist with handling complaints.
  • Liaise effectively with senior management.

About You:

  • 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.
  • Previous compliance experience, ideally in an analytical role is highly desirable
  • CISI IOC qualification is highly desirable, if you do not possess this qualification you must be willing to work towards this

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