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Compliance Analyst

Information About This Job

Job Title: Compliance Analyst
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: 9 days ago

Job Description

We are on the hunt for a Compliance Analyst on behalf of a globally-known investment management company, based in their London offices.


The Role

The Compliance Analyst ( Analyst)  helps the business and its employees operate  in accordance with applicable regulations. Working as part of the Compliance Advisory and Guidance team the Analyst will be part of a small  and extremely collaborative team which prides itself in producing high-quality work at all times. The Analyst will share responsibilities with the existing Analyst in the team..  


Key Responsibilities

  • Identifying key UK and EU regulatory developments,  reviewing relevant regulatory publications carefully and understanding the technical details and rules behind the nature of the changes

  • Preparing written summaries relating to the regulatory changes for  internal key stakeholders and senior management

  • Maintaining oversight of company policies and procedures

  • Authoring new policies and reviewing and updating existing policies

  • Providing  advice and guidance to all business areas , and internally to other teams within the Compliance department, on regulatory matters 

  • Approving financial promotions and client communications

  •  Providing oversight of the complaints management process  including assisting with the completion of FCA complaints reporting


Skills & Experience

  • A university degree or equivalent combination of education/ experience

  • Attention to detail is critical to this role

  • Strong knowledge and experience of the FCA handbook

  • Experienced in  reading, digesting and summarising  in simple language lengthy regulatory publications

  • Experienced in authoring policies in a comprehensible way so  that they can be understood by the business areas

  • Ability to educate the business areas on regulatory matters and to effectively handle challenges from individuals in the business 

  • Strong knowledge of investment suitability and financial promotions regulations

  • A good understanding of financial markets, financial instruments and market awareness

  • A good  understanding of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional  clients 

  • Ability to prioritise  multiple tasks, work to deadlines and effectively manage own time 

  • Excellent written and oral communication skills

  • Experience and/or  knowledge of SM&CR is desirable


Company Benefits

  • Private medical and dental coverage

  • 28 days annual leave, with options to purchase additional leave 

  • Annual health screening 

  • Employee assistance programme 

  • Company pension scheme

  • Interest-free season ticket loan

  • Cycles scheme programme

  • Gym subsidy 

  • Employee appreciation events

Ref: | Published: 09 Aug 2019