Senior Compliance Analyst (Wealth) -12 Month FTC
- Recruiter
- MERJE
- Location
- The City, UK
- Salary
- Competitive salary
- Posted
- 22 Jul 2021
- Closes
- 27 Jul 2021
- Ref
- 2334417857
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
MERJE have partnered with one of the leading independent Wealth Managers in the UK in their search for a Senior Compliance Analyst to provide a 12-month maternity cover. Having recently acquired another Wealth Management firm, this is an exciting time to join a business which continues to be at the forefront of the investment management industry and will allow you a fantastic platform to develop your Compliance career further within a highly dynamic environment.
Key responsibilities include:
Expertise required:
Key responsibilities include:
- Analysis of regulatory requirements and incoming regulations
- Day-to-day oversight of existing or newly implemented compliance processes
- Update business on regulatory requirements and compliance processes and provide training where required
- Assist with reviews and approvals of financial promotions/marketing material when required
- Analyse and respond on complaints according to DISP rules
- To update and/or monitor various registers and logs, including: insider events; approved persons; regulatory breaches
- To handle external requests for information from regulatory bodies/external stakeholders
- To handle internal queries from other business units
- To manage and/or assist in projects for business improvement and/or that have regulatory implications
- To undertake any task required by the Head of Compliance or Deputy Head of Compliance
- To produce Compliance MI
Expertise required:
- 2-3 years of broad based Compliance experience gained within a Wealth / stockbroking or asset/investment management firm
- Good working knowledge of FCA Conduct of Business rules
- Ability to navigate and interpret the FCA Handbook
- Ability to work unsupervised
- Effective communicator
- Good organisational skills