Junior Compliance Analyst
Salary: Up to £40,000, plus excellent bonus and benefits
- Reviewing and approving financial promotions and communications to ensure that they meet FCA standards. Overseeing the approval process;
- Conducting daily tasks, including PAD requests, and maintenance of the stop and watch lists, plus maintenance of insider lists;
- Investigating breaches and incidents and identifying any root causes;
- Reviewing and signing off on-boarding for new clients or for the restructuring of entities;
- Liaising with the business to ensure outstanding recommendations are actioned;
- Submitting FCA regulatory returns;
- Submitting senior manager approved person applications to the FCA;
- Monitoring payment flows in line with the AML policy;
- Dealing with queries from the business on various regulatory matters.
- Assisting with the delivery of the compliance-monitoring plan, including scoping work, undertaking reviews, and reporting on findings;
- Assisting in the delivery of training to the business;
- Providing guidance on cross-border marketing activities;
- Working on regulatory projects.
- At least two years relevant experience in an investment management or wealth management company;
- Good working knowledge of FCA regulations;
- Some experience in the core tasks highlighted above.
- Strong interpersonal skills with the ability to influence and interact at all levels and who is credible in front of the business;
- A team player with a positive, flexible, and proactive attitude;
- Questioning, probing and challenging mind-set in the interests of enhancing the control environment;
- Strong communicator – both verbal and written;
- Strong attention to detail;
- Hands on attitude and problem solver;
- Works well under pressure and to tight deadlines;
- Honesty and integrity.