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Real Recruitment Solutions
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Bournemouth, Dorset
Compliance Analyst
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Job Type: Full-time |
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Salary: £25,000 per annum |
Overview
PERMANENT JOB - COMPLIANCE ANALYST - BOURNEMOUTH - £25,000 PA Main Purpose of the Compliance Analyst Role based in Bournemouth To support the Head of Risk and Compliance in providing assurance to the Board that the business is fulfilling its regulatory obligations, particularly via the Compliance Monitoring Plan (CMP) / activities and business assurance regarding risk mitigation and controls. Key Responsibilities of the Compliance Analyst based in Bournemouth. • Conducting reviews of activities and functions in accordance with CMP. • Drafting reports / findings on areas that need to be improved. Producing and maintaining accurate and timely records and reports reflecting the monitoring activities undertaken; • Working with the business to agree action plans and log these actions for regular tracking purposes. Following up outstanding actions with the action owners; • Monitoring and reviewing breaches and complaints, ensuring root cause analysis and preventative measures have been appropriately considered. Determining if any new controls are required; • Reconciling breaches on the breach register and taken any appropriate action regarding differences; • Providing support on financial crime matters as required by the MLRO and the Head of Risk and Compliance; • Monitoring Policy update cycle. Updating and producing policies, procedures, website disclosures, forms (e.g. individual’s declarations), training materials and other documents, as directed by the Head of Risk and Compliance; • Assisting with the Identification of new regulatory changes and producing gap / impact analyses regarding the business and its delegates. Supporting management and teams during business model review / implementation stages; • Providing ongoing advice and support to internal teams in the interpretation and execution of regulations and regulatory change; • Supporting the process to complete FCA reporting (e.g. Gabriel) on time. Assisting with FCA notifications / communications, as required; • Managing the risk register owners’ update process. Producing reports of red and amber risks. Identifying red and amber risks that require action plans and obtaining these from the risk owners. Managing the logging of the action plans and following up to completion; • Assisting in the creation of management information for the Board; • Maintaining a current knowledge of regulatory matters impacting the business; • Delivering training on compliance related issues to staff, as required; • Assisting with audits, as required. Key Attributes and Qualifications • Previous experience working in an FCA regulated firm; • Previous experience within a compliance / financial crime or quality assurance role is desirable; • Demonstrate an interest in investments and financial regulation; • Demonstrate the ability to understand new activities and conduct monitoring of those activities against relevant requirements (e.g. regulations, risk); • A good working knowledge of investment administration is desirable; • Demonstrate a continuous improvement approach regarding business processes and controls; • Excellent attention to detail and accuracy; • Proactive in identifying potential issues / concerns; • Strong documentation and reporting skills; • Ability to work independently and meet deadlines; • Able to communicate clearly, concisely and professionally with staff at all levels; • Good analytical skills; • Demonstrate the ability to organise daily workloads to the maximum potential; • Strong multi-tasking abilities; able to juggle conflicting priorities; • Proven timekeeping skills; • Good knowledge of standard business software (e.g. MS Word, MS Excel and MS Outlook); • Good English and mathematical skills (minimum Grade C at GCSE/GCE level). Are you currently a Compliance Analyst or looking for a Compliance Analyst role, if so then immediate interviews will be offered for this role based in Bournemouth. We receive a high number of applications on a daily basis so we can only respond to successful applications. If you do not hear from us within 3 working days please assume your application has not been taken forward on this occasion. We may contact you in the future about other suitable positions. Real Recruitment Solutions place an obligation upon all staff to respect and act in accordance with this policy and consistently review regulations to ensure our policy is updated and relevant across all aspects of recruitment in order to avoid unlawful or undesirable discrimination.