Compliance Analyst

Posted on 21 September 22 by Gregor Ormond

  • Edinburgh, Scotland
  • -

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Job Description

If you are looking for keen to develop your career within the compliance function then this role could be what you are looking. If you love doing great work, building excellent relationships, and being part of a hardworking and diligent team then we would like to hear from you!

We  are delighted to be working with an international investment platform as they are seeking an individual with 2-3 years of experience gained within a compliance role to develop and expand as a 'Compliance Analyst' based in Edinburgh.

This is a great opportunity to become part of an experienced and collaborative compliance team working across the business to educate, protect and advise on all general compliance matters. You will enjoy being proactive and timely with your work, and have a constant desire to deliver not only the highest levels of service but also do so with enthusiasm and have a thirst for knowledge.

Role Summary

The Compliance Analyst role reports to the Compliance Manager and in turn to the Head of Risk & Compliance and will be a key member of the Risk & Compliance team for the UK & international business.

The Compliance Analyst supports the Compliance team to ensure they fulfil all regulatory obligations, primarily in relation to the FCA Handbook COBS and Client Money and Assets (CASS) rules and in Compliance Monitoring obligations.

One of the primary elements of the role will be the 2nd line of defence Compliance Monitoring inclusive of CASS monitoring, but the role also requires ensuring the business maintains quality control, adheres to policies, procedures and SLAs and meets operational and client service delivery deadlines whilst ensuring a positive customer experience throughout.

Ideally, you will have the following attributes:

  • Experience of working within a UK financial services Compliance team, with experience of investment platforms preferred.
  • Demonstrate a working knowledge of the FCA Handbook, not limited to COBS and CASS rules.
  • Excellent attention to detail, problem solving and analytical skills; able to build up proactive working relationships with stakeholders across the business.
  • Happy to roll your sleeves up and improve what's currently in place.
  • Excellent written & verbal communications that demonstrate knowledge, confidence, and pragmatism.
  • Excellent organisation and time management skills, with a demonstrable ability to prioritise and meet deadlines in a dynamic and busy environment.
  • Highly passionate, hands on and hardworking with a strong desire and proven ability to deliver continuous improvement.
  • A motivated self-starter who can minimise and manage issues independently and effectively with minimum supervision.
  • Act honestly and fairly at all times with integrity and provide any information that may be asked of you in relation to the protection of clients and the business.
  • Have a desire to learn and really understand the technical detail at a granular level with an analytical mindset and willingness to challenge and ask questions.
  • Committed to promoting a strong compliance culture with a focus on delivering positive customer outcomes.

This is a wonderful opportunity to grow your career within a team of experienced individuals in a business which is scaling for success.

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