Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.
EQ's vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.
Role Summary
This position is to assist the Compliance Manager maintain a framework for ensuring that the business remains compliant with regulatory and industry requirements across UK Shareholder Services.
Are you a recent graduate or someone with a keen eye for detail and an analytical approach?
Join our dynamic team as a Compliance Analyst, where you'll play a crucial role in ensuring our company's operations align with regulatory standard. This position offers a unique opportunity to kick-start your career in a fast paced environment, if you're ready to take on challenges and grow with a leading organisation, we want to hear from you. Full training will be provided.
Core Duties/Responsibilities
- Delivery of the Market Abuse Regime (MAR) and suspicious transaction monitoring and controls for EFSL; ensuring that issues/recommendations are escalated to line management in a timely manner.
- Track adherence to broker limits; escalating for sign-off where breaches occur and retain evidence of such sign off.
- Ensure compliance issues are escalated immediately on discovery and that resolution is tracked and reported.
- Monitor compliance performance of key business areas as agreed with line manager, recommending actions to resolve problems to maintain an acceptable risk profile. Maintain effective reporting mechanisms so that attainment/issues are reviewed with line management.
- Assist with the development and maintenance of policies as agreed from time to time with line management. Where applicable, ensure monitoring/reporting mechanisms are put in place.
- Support the application and maintenance of FCA Registration regulations.
- Act as a contact point in respect of issues specific to role; escalating any concerns to line management.
- When required provide project and other compliance related support ensuring own deliverables are on time and to specification.
- Support the maintenance of procedures for area, which set out purpose and context of the task, as well as the actual process steps.
Skills, Capabilities and Attributes
- Analytical skills
- Self-organisation & Self-motivation
- Ability to learn new tasks with minimal supervision
- Ability to plan tasks and keep to timescales
- Ability to identify system/process improvements
- Able to write reports /communicate with Managers (both internally and externally)
- Good communication skills (both written and oral)
- The successful candidate will be expected to undertake a relevant compliance qualification as part of the FCA training and competence regime
- Providing excellent customer service (courteous, prompt service)
- Presents advice and solutions so that customers can assess implication prior to making decisions
- Ensures others understand the impact business operations have upon customer service
- Treats each contact with customer as an opportunity to impress them with the service offered
- Probes facts and opinions to identify the underlying needs of customers
- Assists staff to meet and exceed customer service standards by creating the right working environment and climate
- Minimise the impact of workflow peaks and troughs upon customer service standards
What We Offer
Save For Your Future - Equiniti Pension Plan; Equiniti matches your pension contributions up to 10%
All Employee Long Term Incentive Plan (LTIP) - Gives all EQ Colleagues the opportunity to benefit if the current owners successfully sell the company for a profit.
Health and Wellbeing - Employee Assistance Programme: counselling, legal & wellbeing support for colleagues and their households. Life assurance cover at 4x salary with the ability to purchase enhance cover.
Employee discounts - Discounts and cashback at your favourite high street stores through our EQ Wins Platform.
Flexible Benefits - The ability to purchase a wide variety of benefits through our flex plan; gadgets, travel insurance, will writing, holiday trading and more.
Time Off - Typically 28 days holiday + bank holidays. 2 volunteer days to get involved with a charity of your choosing.
Winning together - Equiniti ICON award vouchers; recognising the individuals going above and beyond to help the business succeed.
Learning & Development - Investment in LinkedIn Learning for all colleagues.
We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.
Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks