Compliance Analyst

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  • Salary:

    £45,000 - £55,000 + benefits

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  • Published:

    about 2 years ago

My client is a very prestigious organisation and a leader in its chosen field.

They are looking to recruit an individual to conduct detailed analysis of regulaqtory compliance issues and proposals, to advise the business on regulatory change, to review and advise on financial promotions and uphold technical compliance standards.

The role:


  • Conduct technical compliance reviews including: analysis of areas within the business, regulatory themes and regulatory change from concept to implementation within Group subsidiary businesses in all locations as directed.
  • To advise, review and approve financial promotions.
  • To advise, review and amend the firm’s regulatory permissions.
  • To provide technical support on client money and assets.
  • To advise the business on wider jurisdictional regulatory responsibilities.
  • To ensure work is completed to a high standard of delivery and accuracy, including the maintenance of supporting records and audit trails.
  • To act as the Compliance adviser on Group projects and Committees as and when required.
  • As required, to develop and deliver training courses to all UK or wider Group employees on compliance related matters.
  • To contribute towards the delivery of a positive compliance culture within the team and wider Group.

Key Requirements:       

  • Relevant Compliance experience within the Investment Management industry
  • Good industry knowledge - UK, Europe (minimum), US and wider preferable
  • Technical knowledge and practical experience advising/ reviewing all types of financial promotions
  • Ability to review and analyse legislative papers, determine how they are applicable to the firm, implement change, make recommendations actions and actions to resolve
  • Knowledge of regulatory permissions and licenses
  • Ability to act as the Compliance adviser on Committees and project work across the business
  • Excellent verbal communication skills.

Salary is entirely commensurate with experience.