Compliance Analyst

Equifind
have teamed up with a financial services firm in London, who are looking to add a compliance analyst to join the business.
The business has recently enjoyed some fresh investment, so they are looking to add to the team to match this appetite to grow over the next year
.
As a compliance analyst you will support the chief compliance officer with all the junior elements to ensure a robust compliance function. This will involve onboarding clients, ALM processes and everything else compliance relate
d.
Key duties and responsibilities for this compliance analyst position inclu
de:Manage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal polici
es.Complete due diligence checks on potential clients to identify and mitigate risks associated with AML and KYC regulations. Verify client information and perform background checks using internal and external data sour
cesProvide client support in the team and act as a primary point of contact for clients throughout the onboarding process, addressing their inquiries, providing guidance, and resolving any issues that may ari
se.Stay up to date with relevant regulatory compliance requirements and industry best practic
es.Management and enhancement of internal compliance monitor
ingOversight of the firm’s governance structures including the SMCR framew
orkCustody oversight (client money and client asse
ts)Ensure the compliance monitoring of appointed representatives is up to d
ateAssist with risk management practi
ces
Experience & Qualifica
tions2-4 years’ practical experience in a compliance/onboarding pos
itionA basic understanding of compliance and onboa
rdingKnowledge of private equity or venture capital would be a big
plusExcellent communication and interpersonal s
killsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effect
ivelyProficiency in using multiple CRM sy
stemsKnowledge of FCA industry standards, regulations, and anti-financial crime ma
tters
The Orga
nisationA great name in the financial services space with a focus on offering a wide range of products and services to its client base. The founders have a real desire to offer maximum value to customers and provide them with the best tailored so
lutions.
The senior management has a great track record and there is a strong emphasis on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer ex
perience.
The office has a great family feel to it, so you will be joining a business where everyone works closely and has a voice, and is encouraged to share th
eir views.
You will support the chief compliance officer with everything compliance related, so you must be interested in an exceptionally broad role that will offer you as much growth as you want. This is a real hands-on position, in a true SME, where you will support an experience compliance officer, and
learn
from.
SalaryThis exciting opportunity for a compliance analyst will ideally start in the nex
t few weeks.
We will be looking at candidates in the range of £40k-£50k, depending on individual backgrounds, qualifications, and years o
f experience.
This is a hybrid opportunity and three days per week in the London offic
e is required.