Senior Compliance Analyst
Location: Witney
Salary: £48,000
Benefits:
1. Non Contractual Company bonus
2. Holiday - 25 days per year plus bank holidays, increasing to 27 days after 5 years' service
3. Smart Pension scheme
4. Phantom share scheme
5. Private Medical Insurance
6. Salary sacrifice scheme
7. Life assurance
The Burford Recruitment Company is proud to partner with our client, a prestigious financial services business, in seeking a skilled and experienced Senior Compliance Analyst. This is an exciting opportunity for a highly motivated professional to play a key role in ensuring that the business complies with regulatory requirements and internal policies in the retail financial services sector.
Key Responsibilities:
1. Implement objectives outlined in the Compliance policies and Compliance Monitoring Programme.
2. Assist the Compliance Officer in maintaining effective systems and internal controls to mitigate risks such as client losses, errors, irregularities, or fraud.
3. Monitor business operations to identify weaknesses in internal controls, ensuring prompt remedial action is taken.
4. Keep track of legislative changes and ensure compliance with all regulatory regimes.
5. Assist in identifying, investigating, and resolving rule breaches and ensure compliance with reporting requirements.
6. Provide advice and coaching to employees to support process improvements that align with regulatory standards.
7. Coordinate the handling of client complaints and contribute to the development of internal systems to meet regulatory obligations.
8. Maintain confidentiality in all tasks and ensure compliance with Health and Safety requirements.
9. Conduct an annual review of the Business Continuity Plan (BCP).
10. Contribute to updating the Procedures Manual and recommend improvements to systems and procedures.
11. Participate in relevant in-house or external training and attend seminars to stay updated on industry developments.
12. Retain a record of Continuing Professional Development (CPD) and attend relevant working groups.
13. Ensure the company's high standards of client care are met.
14. Comply with the Data Protection Act and maintain confidentiality of client information.
15. Adhere to the FCA's Treating Customers Fairly (TCF) requirements.
16. Ensure compliance with FCA regulations, Courtiers' Anti Money Laundering requirements, and data protection policies.
17. Maintain records in line with compliance manuals and procedures.
Skills and Knowledge Requirements:
1. At least 4 years of experience in the financial services industry, with a strong understanding of FCA regulations, UCITS, and AIFMD regulations.
2. Knowledge of Risk-Based Compliance Monitoring and FCA Training and Competency rules.
3. Exceptional communication and organisational skills, with the ability to manage your workload within a small team.
4. Proficiency in Microsoft Office (Word, Excel, Outlook); experience with intelligent office systems is desirable.
5. Ideally educated to degree level, with a relevant industry qualification such as CISI Investment Operations Certificate (IOC) or equivalent. Strong industry experience will also be considered.
6. Strong regulatory awareness and the ability to work under pressure.
This is a fantastic opportunity for an experienced compliance professional to further develop their career in a fast-paced, dynamic environment. Apply today to become a key player in ensuring regulatory excellence within this leading financial services organisation.
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