Job Description
Compliance Analyst
London
Hybrid working
2+ years experience
An exciting opportunity has arisen to join our compliance team working directly with our Chief Compliance Officer (“CCO”) & Money Laundering Reporting Officer (“MLRO”) in a dynamic and fast-moving environment.
Position Details:
The role requires a strong candidate with good knowledge of generalist compliance and the ability to get involved with all aspects of the day-to-day activities of the compliance department.
The role has a broad remit and will provide excellent generalist compliance exposure. The role requires a good understanding of compliance processes together with the ability to problem solve, work independently and collaborate with members of other teams, including the investment team.
General responsibilities include involvement in the compliance monitoring programme, regulatory reporting to the governing bodies and regulators, together with a variety of ad-hoc tasks including process improvement and review of new regulatory developments.
* Support in maintenance and enhancement of the compliance risk-based framework, including carrying out effective monitoring and undertaking remedial action where required
* Support in establishing, reviewing and maintaining policy and procedure documents
* Support in preparation of periodic reports to the governing body by collecting, analysing, and summarising management information
* Assist with oversight of regulatory reporting and regulatory obligations, including FCA Connect and RegData filings, SEC Form ADV, transaction reporting etc.
* Assist in reviewing marketing materials, DDQs and similar
* Assist in arranging training, including compliance induction, AML, Market Abuse etc. Assist in preparing and conducting KYC checks, and responding to KYC requests
* Take lead on establishing and maintaining required registers and ensuring compliance with record-keeping requirements.
* Take lead on responding to requests for compliance approvals such as personal account dealing, gifts and entertainment or outside business interests
Position Requirements:
* 2+ years experience working in Compliance, ideally within Financial Services.
* Ability to work in a fast-paced environment.
* Strong familiarity with one area of compliance, for example managing staff declarations, conducting best execution reviews, or eComms surveillance
* Ability to communicate effectively both in writing and orally
* Ability to work independently as well as a part of the team
* Ability to deliver outputs with a high degree of accuracy
* Good knowledge of Microsoft Office suite and ability to pick up new systems quickly
For more information, or to find out how to apply, please contact me at Poppy.Taylor@ssq.com or on 07534087340