Senior Compliance Analyst

  • Compliance
  • London, United Kingdom

Senior Compliance Analyst

Job description

The Compliance function has responsibility for FCA reporting, management reporting, risk assessment and development of a risk-based monitoring programme.  Advisory responsibilities include providing support for staff training and providing day-to-day assistance for front office staff as well as participating in the establishment of new policies and procedures. The Senior compliance analyst will assist the Compliance function to maintain regulatory compliance through proper research and analysis while promoting a good compliance culture.

Main Duties & Responsibilities:

  • Day-to-day provision of assistance and advice, training and awareness to various business areas;
  • Creation, review and maintenance of Compliance policy and procedures;
  • Coordinate and formulate responses to internal and external regulatory enquiries, audits and queries;
  • Conducting and co-ordinating risk-based monitoring reviews as part of the Compliance Monitoring Programme to assess regulatory requirements and internal policies;
  • Assisting the team with GDPR and data protection compliance;
  • Horizon scanning; looking for future regulatory developments applicable to our business;
  • Participate in special compliance projects including liaison with other departments such as operations, finance, HR, technology and business development;
  • Initiate and coordinate risk assessments on controls and procedures.

Requirements

Essential Skills / Experience:

  • Able to demonstrate compliance generalist experience in an FCA regulated environment.
  • Team oversight and leadership capabilities
  • University degree or equivalent
  • Excellent proficiency in MS Office application.
  • Confident and proactive in communicating with people at all levels
  • Great team player with the ability to foster close working relationships with colleagues
  • Results orientated with a strong bias for action and outcome
  • Excellent communication skills both verbal and written
  • Comfortable with working in a young, technology driven environment with a great deal of responsibility and autonomy
  • Desire to contribute to success in areas beyond the core compliance areas

Desirable Skills / Experience:

  • Team leading experience
  • Contract Drafting experience