Junior Compliance Analyst

Job Details

Location:

Central London

Job Description

Junior Compliance Analyst

Salary: Up to £40,000, plus excellent bonus and benefits

Reporting to the Head of UK Risk and Compliance, the Associate will hold a generalist function role within the team. They will support the team on advisory and monitoring activities, as well as having ownership of routine and essential tasks. This role will suit a candidate who is new to the industry and is looking for a broad compliance role.
CORE TASKS
  • 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.
NON-CORE TASKS
  • 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.
QUALIFICATIONS AND EXPERIENCE
  • 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.
SKILLS AND COMPETENCIES
  • 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.

Apply

Upload Your CV

Current Vacancies

Credit Controller

Piccadilly

Finance Manager

Southall