Junior Compliance Analyst (Contract)

Job Details


South-West London

Job Description

Junior Compliance Analyst (Contract)

Salary: up to £37,000. Excellent bonus and benefits if taken on permanently.

Our client, a very high end boutique wealth manager based in the West End, are looking for a junior compliance analyst to join their team. The ideal incumbent will have solid Excel skills and the ability to manipulate large quantities of data in relation to ongoing compliance projects across the business.

Key responsibilities

  • Assisting the Compliance Manager to monitor the firm’s compliance with relevant governmental, regulatory and legal requirements in line with the Compliance Monitoring Program.
  • Delivering tasks within the agreed timeframes. This is likely to include taking ownership and refining of the following tasks:
    • Monitoring suitability of clients and investments
    • Review dealing activity including Market Abuse & Best Execution obligations
    • Monitoring of collective investment schemes
    • Ensure adherence to reporting requirements under MiFID II/MiFIR
    • Monitoring of activity on client accounts including cash movements
    • Monitoring of holdings positions and submission of required Regulatory reporting.
  • In relation to the monitoring activities carried out:
    • Maintain Compliance records in accordance with regulatory and firm requirements
    • Maintain and update procedures where applicable
    • Provision and presentation of MI to the business including preparation of reports to senior management and committees
    • Consider technology alternatives.
  • Monitoring of the Compliance mailbox
  • Other support – other responsibilities as determined by the Compliance Manager.

Aptitude and talents

  • Attention to detail with a commitment and the ability to work to a high level of accuracy. Able to multitask and prioritise reoccurring tasks as well as defined one off reviews, adaptable & resilient under pressure
  • Excellent communication skills essential, both written and verbal
  • Ability to work with colleagues at all levels, with strong inter-personal skills and a mature, responsible attitude
  • Team player and contributor, with the ability to work under own initiative.

Skills and experience

  • 18 months-2 years’ experience within financial services preferred in a similar firm
  • Excel proficiency essential (Macros & V-Lookups), Word and PowerPoint
  • IT Literacy
  • SQL experience desirable.


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