Compliance Analyst

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £25,000 - £30,000

  • Consultant:

    James Flood

  • Email:


  • Job ref:


  • Published:

    7 days ago

The purpose of the role is compliance monitoring and policy work. Tasks will be assigned as needed on a day-to-day basis and may include;

  • Running a variety of tasks as part of the completion of the Compliance Monitoring Plan
  • AML, market abuse and call monitoring
  • KYC reviews
  • Collating monthly Management Information (MI)
  • Fraud identification, analysis and reporting
  • Financial Promotions review
  • Complaint handling
  • Undertake various core compliance processes including regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading
  • Assist with induction training
  • Assist in any other ad-hoc projects as required

About You:

You will have at least 2 years Compliance and/or Financial Crime experience within the financial sector, ideally in a trading or brokerage environment. Knowledge of the FCA handbook and, in particular, COBS, SYSC, SUP and DISP is essential.

This position is most likely to suit a candidate who is used to working within an unstructured entrepreneurial environment (e.g. a small to medium enterprise or a start-up). The successful candidate must be proactive and able to demonstrate an ability to use his/her initiative to problem solve with the minimum day-to-day supervision.

Whilst we are open-minded about educational qualifications, a degree or equivalent in a law or business related field, would be our preference.

Essential Skills and Abilities:

  • Proficiency with Microsoft Excel (intermediate to advance standard) and Word
  • Clear and concise communication skills
  • Able to remain focused on the task and not easily distracted
  • Observant and accurate
  • Able to work consistently and adjust the pace of work in line with demands and deadlines