Compliance Oversight Analyst - Exclusive Assignment

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £ Competitive based on experience

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    almost 3 years ago

The position has been created as a result of the success and continued expansion of the business. The main purpose of the role is to provide reassurance to the Board and management that the business is operating in a compliant manner

The role will involve:

  • Overseeing the delegated administrator including desk based monitoring and assisting with preparation for and conducting of due diligence visits
  • Liaising with the designated compliance officer and ensuring suitable policies and procedures are in place
  • Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the international business
  • Undertake the review and approval of financial promotions and customer communications
  • Assist with general compliance and risk queries
  • Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks

Key Requirements:

  •  Minimum 3 years’ experience in compliance
  • Experience analysing regulations and assisting with regulatory change projects
  • Good working knowledge of investments is desirable but not a requirement