Compliance Analyst

  • Location

    City of London, London

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £30000 - £45000 per annum

  • Contact:

    Jack Hitching

  • Contact email:

    trdaxtraadresp@thesrgroup.com

  • Job ref:

    2004_1614875732

  • Published:

    5 months ago

  • Expiry date:

    2021-04-03

Key tasks and responsibilities:

  • Know-your-client (KYC) process: assist with client account opening/money laundering procedures and sanction checks.
  • Compliance monitoring activities: assist in the Compliance Monitoring Programme as well as the analysis of findings. Assist in email review.
  • Compliance registers: assist with approvals, oversee the maintenance and accuracy of registers (including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, Approved Persons) and actively monitor and escalate trends within the department.
  • Management reports: assist with the preparatory work for Board Meetings.
  • Compliance procedures manuals: assist with updating and enhancing of manuals, policies and procedures. Promote the requirement for the associates to follow compliance policies and procedures.
  • Training: assist with compliance training.
  • New joiner process: new staff inductions and attestations.

Required Experience:

  • Minimum of 1 to 2 years of experience in a financial services environment.
  • Some experience in a relevant field, e.g. compliance monitoring or financial crime would be advantageous.
  • Legal background preferable.

Key Required Skills/Competencies:

  • High level of tenacity and a 'can do' attitude.
  • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
  • Shows the ability to work within a team and alone with one's own initiative.
  • Demonstrates the ability to identify and escalate areas of inefficiencies and risk to the wider compliance team.
  • Demonstrates the ability to adapt personal style and approach as appropriate to meet the needs of the business, without compromising standards.
  • Superior organisation, prioritisation, and exceptional administrative skills.
  • Structured in approach but flexible enough to work in an ever-changing environment.
  • Personable, approachable with good energy.
  • Degree 2:1 or above.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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