Senior Compliance Analyst

Overview

Senior Compliance Analyst role in a financial services/wealth management firm based in Witney.

Our client manages portfolios for individuals and commercial enterprises and is expanding. The role involves working with management to manage all areas of compliance on behalf of the firm's clients and requires a general understanding of FCA regulations.

Key Responsibilities

• Providing support to the Head of Compliance CISL in the strategic oversight and day to day management of the firm's compliance framework.
• Contributing to the development, implementation, and continuous improvement of compliance policies, procedures, and controls across all regulated activities.
• Acting as a key point of contact for internal stakeholders on compliance matters, ensuring alignment with FCA requirements and promoting a strong compliance culture.
• Ensuring compliance with CASS rules, including oversight of client money and custody asset processes.
• Managing and maintaining the errors and breaches register and the internal reporting process, and reporting relevant breaches.
• Ensuring recommendations are implemented by relevant areas of the business in a timely manner and escalating issues to the Head of Compliance.
• Assisting in handling client complaints in line with regulatory expectations.

Skills & Experience Required

• Experience within the Financial Services Industry with knowledge and understanding of FCA regulations.
• Recent experience in a compliance role within an FCA regulated organisation.
• Ideally educated to degree level with a relevant industry qualification, such as CISI Investment Operations Certificate (IOC) or equivalent.
• Strong regulatory awareness.
• Ability to work under pressure at times.
• Exceptional communication skills at all levels.
• Excellent organisational skills.

We offer a competitive annual salary with comprehensive benefits, including an enhanced pension scheme and private medical cover.

If you feel you have the skills and experience we are looking for, please apply today for a fast response. If you have any questions, contact Stuart Moore in the first instance.