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Compliance Analyst

Salary:
26,721 P.A. ?
Location:
Bestwood Village
Company:
North Oak Recruitment

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Reference ID

AL972

Category

Compliance

Salary

to £30,000 + excellent bens inc parking

Contact Person

Angela Liscombe

Job description

Compliance
Analyst

Nottingham
City Centre (our Ref AL972)

Salary
£25,000 to £30,000 plus excellent benefits including parking

My client, a highly successful Asset Management company,
have an exciting new role due to recent restructuring, within their Compliance
Division.

You will be responsible for analysing and producing
external and internal information to ensure legal and regulatory compliance and
deadlines are adhered to within the business.

Compliance Analyst Duties

· Monitor reporting systems and tools daily to
ensure full adherence with applicable rules and legislation.

· Gather and analyse data relating to of all
aspects of regulated funds activity.

· Monitor internal dedicated email inboxes to
ensure that queries are answered promptly by the team.

· Maintain an up to date and accurate log of all
testing and monitoring undertaken.

· Analyse operational practice against
pre-determined control processes. Key
areas include: GDPR, Operational Resilience, IT, Fund Accounting and Transfer Agency

· Conduct file reviews for compliance with AML
and CASS regulations.

· Regularly review and update internal compliance
policies and procedures.

· Analyse the effectiveness of business
continuity operational procedures.

· Promote a robust compliance culture and high
standards across the firm.

· Assist external auditors with requests for
information and data.

· Provide Compliance technical support to all
operational teams.

· Prepare KPI and MI for internal committees and
the Board.

· Assist the team with ad-hoc projects and
investigations as directed.

· Adherence to the conduct rules as defined by
the SM & CR and the FCA regulations.

Qualifications

· Experience of working in financial services or
other highly regulated industry preferred.

· 3 years+ relevant industry experience
preferred.

· Degree level or equivalent qualification
preferred.

Skills and Competencies

· Professional attitude and appearance.

· Strong written and verbal communication skills.

· Ability to be resourceful and proactive when
issues arise.

· Excellent planning and organisation skills.

· Excellent multi-tasking and time-management
skills, with the ability to prioritise tasks.

· A flexible and collaborative attitude towards
duties and responsibilities.

· Familiarity with the FCAs Principles for
Business and their practical impact on regulated firms.

· Good attention to detail and accuracy

· Ability to communicate professionally with
internal and external stakeholders.

If this role is of interest,
please apply with an up to date CV. We
aim to respond to all applications but occasionally, due to overwhelming
response, this is not always possible. Should you not hear from us within
10 days please assume your application has been unsuccessful. By
submitting your CV you consent to it being retained for use in connection with
this and future relevant and/or similar vacancies, you can of course, opt out
of this at any time by emailing us. Full Privacy Notice can be found on
our website.

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