Compliance Analyst- Financial Services – J – 638
£43,000 to £48,000
To provide Compliance support to advisory side of the business.
Applications welcome from Compliance, Paraplanning or IFA professionals with technical experience.
To assist with the analysis of regulatory compliance issues, themes and proposals specified tasks and to produce management information as required in both detailed and abridged format to assist the Compliance officer.
- To assist the Compliance Officer with technical compliance implementation including: analysis of areas within the business, regulatory themes and regulatory change from concept to implementation
- To take lead responsibility for regulatory quality assurance in relation to the advisory business, in order to demonstrate they are operating in accordance with regulations;
- To provide support and expertise to the advisory businesses in relation to suitability of advice, and where required to contribute towards compliance review processes, projects and general business development in this area.
- To develop and maintain own technical skills. Proactively develop the skills of those staff reporting to the post holder both as a group and individually;
- To ensure work completed to a high standard of delivery and accuracy, including the maintenance of supporting records and audit trails;
- To create detailed work plans for completion by any support staff under your management, including setting deadlines and ensuring that those deadlines are met;
- To assist with the development and production of high quality, accurate and relevant management information within the Compliance technical and implementation team and the wider compliance function;
- To maintain a flexible approach to working practices and provide such wider technical and management support as may be required by the Compliance Officer and Head of Compliance from time to time;
- To act as Compliance adviser on Group projects and Committees as and when required;
- To develop and deliver training courses to all UK or wider group employees on compliance related matters;
- As required to visit other offices
- To contribute towards the delivery of a positive compliance culture within the team and the wider company.
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