Compliance Analyst - Chelmsford, United Kingdom - D&A Recruitment

D&A Recruitment

Verified Company

Chelmsford, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Reuirements:

Education - Degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management
Experience - At least 4 years relevant work experience in Compliance

Duties include:

Prepare training material and deliver training in compliance with regulatory obligations and business procedures;
Prepare compliance reports to management, various committees and governance structures within the group;
Maintain effective relationships with regulators and industry bodies, as applicable;
Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications:
Circulate regulatory development registers to the Directors and senior management;
Provide advice to the Directors on the regulatory implications of new business areas and new products;
Contribute to the oversight of the administration and transfer agency delegates.
Undertake projects such as those projects addressing new regulatory initiatives and the review of existing policies;
Actively manage the mitigation of data breaches in accordance with our data breach process.
Assume the role of MLRO;
Monitor suspicious transactions and provide reporting and escalations as required;
Consider the political exposure of potential clients and act appropriately;
Ensure the effective implementation of the Compliance Monitoring programme and undertake all aspects of monitoring activities;
Monitor compliance by the operating entities with applicable regulations and the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls;
Track noncompliant findings with respective business unit function managers until resolved;
Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures.