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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: 5 months ago

Job Description

The Compliance Analyst helps ensure the firm and its employees are in compliance with applicable regulations.  Working as part of the Advisory and Guidance team of the firm’s Compliance Department the successful candidate should be a highly organised individual with strong analytical skills,  excellent communication and writing skills, strong work ethic and should possess the ability to work collaboratively as a team member.


Key Responsibilities

  • Approval of  financial promotions and client communications

  • Management of client complaints including FCA complaints reporting

  • Review and revision of internal policies

  • Looking at regulatory change and drafting new policies

  • Providing advisory services the firm’s investment business


Skills & Experience

  • Knowledge and experience of using the FCA Handbook, particularly COBs and DISP

  • Experience of approving financial promotions  and complaints handling


  • Ideally experience of  submitting FCA complaints returns

  • Knowledge of  discretionary portfolio management, asset management, SIPPs/pensions  

  • Knowledge of financial  markets, UK financial services regulation and some experience of dealing with regulatory change

  • Excellent written and oral communication skills

  • Attention to detail.

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



Ref: | Published: 10 Jan 2019