Compliance Analyst, OMR (Outsourced Marketing Review)
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Job Overview:
The individual in this position is responsible for participating in and ensuring the successful execution of compliance reviews and consulting work for ACA clients. This includes analyzing clients’ books and records for regulatory deficiencies, drafting reports, preparing documents, and summarizing findings. Candidates are encouraged to utilize available training resources for ongoing development.
Responsibilities:
* Assist with ACA service offerings such as regulatory filings, expert network chaperoning, anti-money laundering support, electronic communication review, code of ethics and personal trading reviews, and marketing review.
* Analyze clients’ books and records for regulatory issues.
* Interpret complex documents to identify regulatory risks.
* Participate in review planning, including client calls and policy reviews.
* Draft review reports and summarize findings for clients.
* Support ad-hoc projects, including analyst training, conferences, and client engagements.
Qualifications:
* Strong academic background or recognized professional qualification.
Preferred Experience and Skills:
* 0-2 years in financial services or knowledge of UK regulatory regime (e.g., FCA rules, directives).
* Professional integrity, dependability, flexibility, discretion, and strong communication skills.
* Ability to work in a fast-paced environment and establish effective relationships.
* Highly motivated, organized, and detail-oriented.
* Proficiency in Microsoft Office and comfortable with technology.
Certifications:
Willingness to undertake the Investment Management Certificate or CISI Diploma in Investment Compliance.
Benefits:
Competitive compensation, annual bonus, pension, private medical insurance, and other benefits including generous holiday allowance and professional development opportunities.
About ACA:
Leading GRC advisor in financial services, integrating consulting, managed services, and technology platforms with expertise from former regulators and practitioners.
Equal Opportunity:
Committed to nondiscrimination and equal opportunity employment policies.
Additional Details:
* Seniority level: Entry level
* Employment type: Full-time
* Job function: Consulting
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