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Compliance Analyst

  • Location

    Bolton

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Consultant:

    #

  • Email:

    pclayton@merje.com

  • Job ref:

    PC/14851(a)

  • Published:

    about 2 months ago

The role will involve assisting the Compliance Team in ensuring the business continues to meet its regulatory responsibilities.

The role will involve:

  • Undertake ‘know your customer’ and ‘anti-money laundering’ checks in line with the company’s financial crime policies
  • Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks
  • Support the Compliance Manager by undertaking compliance monitoring and preparing reports to management
  • Assist with the update and maintenance of Compliance procedures
  • Assist with general compliance queries
  • Undertake the monitoring and analysis of regulatory change and assessing the potential impact on the business
  • Undertake the review and approval of financial promotions and other customer communications
  • Work on compliance projects, as allocated from time to time.
  • Assist with the preparation for external visits, e.g. Depositary reviews, regulatory visits
  • To identify areas for improvement in the teams’ existing processes and procedures and bring them to the attention of the Compliance Manager

Key Requirements:

  •  Previous experience in a similar role would be advantageous
  • Completed or working towards IOC (Investment Operations Certificate) would be beneficial.
  • Educated to degree level