Compliance Analyst


Reference ID





to £30,000 + excellent bens inc parking

Contact Person

Angela Liscombe

Job description

Compliance Analyst

Nottingham City Centre  (our Ref AL972)

Salary £25,000 to £30,000 plus excellent benefits including parking


My client, a highly successful Asset Management company, have an exciting new role due to recent restructuring, within their Compliance Division.

You will be responsible for analysing and producing external and internal information to ensure legal and regulatory compliance and deadlines are adhered to within the business.

Compliance Analyst  Duties

·        Monitor reporting systems and tools daily to ensure full adherence with applicable rules and legislation.

·        Gather and analyse data relating to of all aspects of regulated funds activity.

·        Monitor internal dedicated email inboxes to ensure that queries are answered promptly by the team.

·        Maintain an up to date and accurate log of all testing and monitoring undertaken.

·        Analyse operational practice against pre-determined control processes.  Key areas include: GDPR, Operational Resilience, IT, Fund Accounting and       Transfer Agency

·        Conduct file reviews for compliance with AML and CASS regulations.

·        Regularly review and update internal compliance policies and procedures.

·        Analyse the effectiveness of business continuity operational procedures.

·        Promote a robust compliance culture and high standards across the firm.

·        Assist external auditors with requests for information and data.

·        Provide Compliance technical support to all operational teams.

·        Prepare KPI and MI for internal committees and the Board.

·        Assist the team with ad-hoc projects and investigations as directed.

·        Adherence to the conduct rules as defined by the SM & CR and the FCA regulations.


·        Experience of working in financial services or other highly regulated industry preferred.

·        3 years+ relevant industry experience preferred.

·        Degree level or equivalent qualification preferred.

Skills and Competencies

·        Professional attitude and appearance.

·        Strong written and verbal communication skills.

·        Ability to be resourceful and proactive when issues arise.

·        Excellent planning and organisation skills.

·        Excellent multi-tasking and time-management skills, with the ability to prioritise tasks.

·        A flexible and collaborative attitude towards duties and responsibilities.

·        Familiarity with the FCAs Principles for Business and their practical impact on regulated firms.

·        Good attention to detail and accuracy

·        Ability to communicate professionally with internal and external stakeholders.


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