- Work with the head of compliance
- Excellent benefits
- Prestigious business
Meraki Talent are currently working with a leading financial services business who are looking to identify a Compliance Analyst to join their team.
Reporting directly into the Head of Compliance you will help provide an effective systems and controls framework across the organisation, to ensure compliance with all regulatory regimes under which the business operates.
The focus is primarily on FCA compliance but also encompasses compliance with other regulation such the Data Protection Act and Proceeds of Crime Act.
Some of your duties and responsibilities will include:
- To undertake tasks relating to the implementation of the objectives set out in the Compliance policies and Compliance Monitoring Programme
- To assist the Head of Compliance in ensuring that the Company establishes and maintains, at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the Business from errors, irregularities or fraud
- Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
- To assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
- To assist the Head of Compliance in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements
- Assist in providing advice and coaching to employees to enable them to deliver process improvements, which are fully compliant with relevant regulatory requirements
- To assist in coordinating the handling of client complaints
- To assist in the creation, implementation, and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
- Undertake ad-hoc project work as needed
We are looking for candidates with:
- Experience within the Financial Services Industry with knowledge and understanding of FCA
- regulations
- Willingness to undertake study
- Ability to manage own workload and work within a small team
- Knowledge of business processes, standards, policies and procedures
- Exceptional communication skills at all levels
- Excellent organisational skills
- Knowledge of Microsoft Word, Excel, Outlook and ideally IO, and Pulse dealing systems
- At least 4 years in a compliance role where some monitoring work has been undertaken,
- Ideally educated to degree level with a relevant industry qualification, such as CISI Investment Operations Certificate (IOC) or equivalent
Excellent benefits, including bonus, share scheme and lots more.