Compliance Analyst - 6 Month FTC
The role includes working with firms seeking authorisation to draft the FCA application and assist with drafting the business plan, financial projections and a comprehensive set of compliance documents (including Compliance Monitoring Programmes, policies, registers). For authorised firms, visits are undertaken to clients on a periodic basis to review the compliance monitoring undertaken and policies, registers etc, discuss business updates and how regulatory changes may impact the firm. There may also be discussions regarding any regulatory concerns the client may have and assist with problem solving. Visits are normally followed by a formal report for the senior management of the client. The role will require the individual to be able to present opinions and findings in a clear and concise manner at both staff and senior management level.
- Candidate will preferably have 2-3 years experience (minimum 1 year’s) relevant experience in either a regulated environment, legal or other professional services firm in the financial services sector. Must be able to demonstrate consulting skills.
- Legal or finance related degree or equivalent is preferable
- A CISI or equivalent qualification is desirable but not required
- Excellent organisational and time management skills
- Excellent communication and interpersonal skills
- Self-confident with the ability to work as part of a close-knit collegiate team
- Good working knowledge of the FCA, its objectives and the FCA Handbook
- Good understanding of current UK regulation