THE COMPANY: We are working with an international multi-asset platform who are searching for a Junior Compliance Analyst on an FTC basis.
THE RESPONSIBILITIES:
1. Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”).
2. Execution of a risk-based compliance monitoring programme (related to the Company’s operations), in line with regulatory guidelines and in conjunction with business and compliance departments in other parts of the Group.
3. Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis.
4. Responding to Financial Ombudsman Service cases.
5. Investigation of suspicious transactions and orders (market surveillance).
6. Assisting in the administration of the Senior Managers and Certification Function Regime.
7. Liaising with operational units on regulatory compliance matters and fostering a culture of compliance by design.
8. Assisting in thematic and ad-hoc regulatory enquiries where required.
9. Ensuring that the Firm maintains accurate, detailed and up to date records across all areas of the Firm’s business.
EXPERIENCE REQUIRED:
1. Strong knowledge of retail investment products, crypto assets etc. Must have worked in such environments previously.
2. Need some experience to be able to deal with the FOS complaints.
3. Previous experience (at least 2 years) in a relevant compliance function within a comparable environment.
4. Organised and articulate.
5. Ideally possess technical skills (Excel) to aid in the analysis of data.
6. Be capable of showing an impressive track record of having performed under similar situations in a fast-paced, multi-regulated, multi-asset environment.
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