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    Temporary Compliance Analyst - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    Found in: Jooble UK O C2 - 17 minutes ago

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    Description
    We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst. The role is a 3 to 6 month contract
    THIS ROLE IS NOT SUITABLE FOR KYC AND AML CANDIDATES - IT IS A REGULATORY COMPLIANCE FOCUSSED ROLE.
    Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business ("COBS").

    Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company.

    Assisting in compliance oversight of all activities outsourced to other entities.

    Execution of a risk-based compliance monitoring programme (related to the Company's operations), in line with regulatory guidelines and in conjunction with business and compliance departments in other parts of the Group.

    Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis.
    Compliance oversight of financial promotions issued by the Company.
    Carrying out of regular assessments of staff fitness and propriety, ensuring that all staff receive appropriate training.
    Assisting in the administration of the Senior Managers and Certification Function Regime.
    Assisting in the documentation of internal controls, policies and procedures
    Working on data projects – construction and analysis of reports.
    Liaising with operational units on regulatory compliance matters and fostering a culture of compliance by design
    Assisting in thematic and ad-hoc regulatory enquiries where required.

    Seeking continuous improvement to streamline compliance processes and achieving industry best practice in all related activities (utilising technology solutions where appropriate).

    Utilising technology to innovate and aid compliance.
    Strong knowledge of retail investment products, crypto assets, EMI/PSP/card issuing activities. Previous experience (at least 4 years) in a relevant compliance function within a comparable environment.
    Ideally possess technical skills (Excel/VBA) to aid in the analysis of data.
    Knowledge and experience of Conduct Risk management frameworks and best practice.

    Able to interpret, analyse and disseminate regulatory and technical documentation (FCA handbook, consultation papers and Dear CEO letters for example).

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