Senior Compliance Analyst

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  • Salary:

    c.£42,000 + Bonus + Benefits

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  • Published:

    over 1 year ago

Our client is a well-known Financial Services business who are looking to recruit a Senior Compliance Analyst who will work with the business to ensure the firms operations adhere to legislative and regulatory requirements through proactive oversight.

Key responsibilities include:

  • Support the Operations team to ensure the effectiveness of oversight arrangements in compliance with SYSC8 and other industry best practice.
  • Work with the firm’s external partners to ensure their business processes support regulatory requirements (for example in respect of compliance with DISP, GDPR).
  • Define the scope and scheduling of quality assurance work to maintain compliance with regulatory expectations.
  • Ensure robust Root Cause Analysis (RCA) is undertaken in light of customer feedback, complaints and any other identified issues.
  • Working with the Compliance team, develop and embed the First Line of Defence (FLOD) / Second Line of Defence (SLOD) framework.
  • Provide MI to support fortnightly governance meetings between the FLOD and SLOD teams, and generally provide input into MI on regulatory compliance matters for which the Operations team is responsible.
  • Keep abreast of all prevailing and pending regulatory requirements and provide regulatory advice to the Operations team.
  • Act as a subject matter expert representing the team on regulatory driven projects.
  • Act as a point of contact with the SLOD for communications involving regulatory related matters.

The Person:

  • Experience within Financial Services
  • Third party supplier/ outsource servicing relationship management
  • Quality Assurance experience
  • Be able to challenge at all levels
  • First and second line experience
  • Recent exposure to SMCR is desirable but not essential