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Senior Compliance Advice Analyst

Information About This Job

Job Title: Senior Compliance Advice Analyst
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 23 days ago

Job Description

About The Role

  • Perform an advisory role supporting the business in discharging its regulatory obligations

  • Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance

  • Assist with the reviewing of the Compliance email inbox and providing compliance advice and guidance to the business, where required

  • Deputise for the Compliance Manager as required

 

Key Responsibilities

  • Participate and actively engage in the performance management process to attain and maintain competence within your role

  • Comply with applicable rules and regulations as stated by the regulator and set out in our internal policies

  • Responsible for identifying, escalating and mitigating risks

  • Keep abreast of current and upcoming regulatory developments and assisting in advising the business on their impact and incorporating them into processes and procedures

  • To act as a subject matter expert within the team on queries relating to Operations and the associated regulations

  • Respond to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred

  • Review and approve financial promotions

  • Review and approve requests for personal account dealing

  • Carry out identity verification checks on clients of different types for AML purposes

  • Escalate any significant issues, weaknesses or outstanding action items to the Compliance Manager

  • Prepare compliance reports and MI for other members of the Compliance Team and  senior management

  • Assist other members of the Compliance Team and undertake ad-hoc compliance related projects, as required

  • Assist in the reviewing and production of policies and procedures, both within the team and the wider business.

 

Skills & Experience

  • Organised, methodical, efficient and able to work to close deadlines

  • Good communication skills, written and verbal

  • Able to build and maintain effective lines of communication with staff at all levels

  • Confident in providing advice and recommendations to senior stakeholders

  • Able to work on own initiative but also accept direction when necessary and learn quickly

  • Developing understanding of regulatory frameworks, FCA rules and best practice

  • Familiarity with the key FCA Sourcebooks (COBS, CASS, SUP, etc.)

  • Technical knowledge of Investment Operations including CASS, Transaction Reporting, Dealing and Settlements

  • Knowledge of the JMLSG Guidance Notes

  • Knowledge of Financial Promotions

 

Qualifications

  • Experience gained within financial services, ideally including a discretionary investment management and/or financial planning business

  • Experience in an Investment Operations environment

  • Experience of reviewing and approving AML documentation

  • Experience of reviewing and approving financial promotions

 

Person Specification

  • Well organised

  • Self-starter and able to stay motivated

  • Ability to work with different priorities / needs

  • Ability to re-prioritise and maintain focus

 

Additional Information

Candidates will be expected to uphold the company’s core values:

  • Client focused

  • Business focused

  • People focused

  • Acts with honesty, integrity, fairness and clarity

  • Maintains high ethical standards

Ref: | Published: 27 Mar 2018