Compliance Analyst
- Location: Central London
- Job Type: Permanent
- Salary: £45k-50k
We are seeking a proactive and adaptable Compliance Analyst to join our Central Compliance team. The role encompasses a wide range of responsibilities, including regulatory projects, training, reporting, policy management, and data protection. The ideal candidate will have strong administrative, organisational, and communication skills, a ‘can do' attitude, and the ability to learn swiftly. Previous experience in a wholesale investment bank or financial services firm is essential, along with a good understanding of FCA/PRA rules.
Day to Day of the role:
- Administer the Senior Managers Regime Certification Regime (SMCR), ensuring compliance and maintaining accurate records.
- Manage Personal Account Dealing activities, including permission requests and reconciliations.
- Conduct routine compliance reporting and control work as defined in the annual control plan.
- Perform trade reporting on UK stocks and maintain the Daily Takeover Panel stock list.
- Carry out compliance monitoring and reviews as directed by Compliance Management.
- Investigate and remediate Data Loss Prevention alerts.
- Coordinate responses to Data Subject Access Requests (DSARs) in compliance with regulatory time limits.
- Maintain and update relevant Policies and Procedures.
- Provide general compliance support and participate in regulatory projects as necessary.
- Undertake periodic FCA Regulatory Reporting and maintain knowledge of relevant regulations.
Required Skills & Qualifications:
- Degree in law or finance-related topics (essential).
- Compliance related qualification (desirable).
- Previous experience at a wholesale investment bank or financial services firm (essential).
- Understanding of FCA/PRA Rules (essential).
- IT literacy, including MS Office and database management (essential).
- Regulatory awareness, including knowledge of FCA MIFIDII Transaction Reporting rules (essential).
- Strong project management and analytical skills (essential).
- Excellent administrative and interpersonal skills (essential).
- Ability to work independently or as part of a team (essential).
- Energy and tenacity to work well under pressure to deadlines (essential).
- Strong IT skills and ability to work with eLearning systems (desirable).
Benefits:
- Competitive salary and benefits package.
- Opportunity to work in a dynamic and evolving team environment.
- On-the-job training and professional development.
- Central London location.
To apply for the Compliance Analyst position, please submit your CV and cover letter detailing your relevant experience and why you are interested in this role.