Aleading financial services organisation is seeking apliance Analyst. This role offers the opportunity to support a broad range ofpliance activities, working closely with both local teams and international colleagues. You will provide day ‑ to ‑ day support acrosspliance Advisory, Core Compliance, Monitoring and general departmental activities. This is a hands-on position ideal for someone who enjoys variety, autonomy and exposure to a wide range ofpliance responsibilities.
Key Responsibilities
Advisorypliance
1. Manage daily enquiries relating to client interests, professional ethics and conduct topics, including financial promotions, sales and marketing, gifts & entertainment, and personal account dealing.
2. Coordinate the allocation and management of thepliance team inbox.
3. Support internal reporting requests from group stakeholders.
4. Assist in delivering the pliance monitoring and independent testing plan.
5. Reconcile personal account dealing statements and transactions with system records (experience with Stapliance advantageous).
6. Escalate issues and exceptions promptly to seniorpliance team members.
Corepliance
7. Prepare Management Information for local and groupernancemittees.
8. Help maintain registers, calendars, filings and returns.
9. Support the use ofpliance systems, escalating any issues as needed.
10. Coordinatepliance training initiatives.
11. Gather information for the conflicts of interest register.
Policies & Regulatory Developments
12. Support the periodic review, implementation andmunication of policies and procedures.
13. Upload and maintain updated pliance documentation on internal platforms.
14. Coordinate responses to regulatory development queries.
General Departmental Support
15. Provide assistance on ad ‑ hocpliance projects, business queries and administrative tasks.
Skills & Competencies
16. Strongmunication skills with the ability to present ideas clearly.
17. Highly organised with strong time ‑ management abilities.
18. Analytical mindset and proactive approach to problem ‑ solving.
19. High attention to detail.
20. Team-oriented, demonstrating professionalism and good conduct.
Qualifications & Experience
21. Prior experience in a pliance or asset management environment is highly desirable.
22. Confident user of Microsoft Office (Excel, Word, PowerPoint, Outlook).
23. Degree-educated preferred; relevant industry qualifications an advantage.
What’s on Offer
24. Exposure to a global asset managementpliance function.
25. Hybrid working and a supportive team culture.
26. Access to professional development opportunities.
27. Inclusive and diverse working environment.
#4769082 - Lily Millen