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- Non Contractual Company bonus
- Holiday - 25 days per year plus bank holidays
- Increasing to 27 days after 5 years’ service
- Smart Pension scheme
- Phantom share scheme
- Private Medical Insurance
- Salary sacrifice scheme
- Life assurance
The Burford Recruitment Company is proud to partner with our client, a prestigious financial services business, in seeking a skilled and experienced Senior Compliance Analyst. This is an exciting opportunity for a highly motivated professional to play a key role in ensuring that the business complies with regulatory requirements and internal policies in the retail financial services sector.
Key Responsibilities:- Implement objectives outlined in the Compliance policies and Compliance Monitoring Programme.
- Assist the Compliance Officer in maintaining effective systems and internal controls to mitigate risks such as client losses, errors, irregularities, or fraud.
- Monitor business operations to identify weaknesses in internal controls, ensuring prompt remedial action is taken.
- Keep track of legislative changes and ensure compliance with all regulatory regimes.
- Assist in identifying, investigating, and resolving rule breaches and ensure compliance with reporting requirements.
- Provide advice and coaching to employees to support process improvements that align with regulatory standards.
- Coordinate the handling of client complaints and contribute to the development of internal systems to meet regulatory obligations.
- Maintain confidentiality in all tasks and ensure compliance with Health and Safety requirements.
- Conduct an annual review of the Business Continuity Plan (BCP).
- Contribute to updating the Procedures Manual and recommend improvements to systems and procedures.
- Participate in relevant in-house or external training and attend seminars to stay updated on industry developments.
- Retain a record of Continuing Professional Development (CPD) and attend relevant working groups.
- Ensure the company’s high standards of client care are met.
- Comply with the Data Protection Act and maintain confidentiality of client information.
- Adhere to the FCA’s Treating Customers Fairly (TCF) requirements.
- Ensure compliance with FCA regulations, Courtiers’ Anti Money Laundering requirements, and data protection policies.
- Maintain records in line with compliance manuals and procedures.
- At least 4 years of experience in the financial services industry, with a strong understanding of FCA regulations, UCITS, and AIFMD regulations.
- Knowledge of Risk-Based Compliance Monitoring and FCA Training and Competency rules.
- Exceptional communication and organisational skills, with the ability to manage your workload within a small team.
- Proficiency in Microsoft Office (Word, Excel, Outlook); experience with intelligent office systems is desirable.
- Ideally educated to degree level, with a relevant industry qualification such as CISI Investment Operations Certificate (IOC) or equivalent. Strong industry experience will also be considered.
- Strong regulatory awareness and the ability to work under pressure.
This is a fantastic opportunity for an experienced compliance professional to further develop their career in a fast-paced, dynamic environment. Apply today to become a key player in ensuring regulatory excellence within this leading financial services organisation
