Compliance Analyst

1 week ago
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This range is provided by Equifind. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.Base pay rangeDirect message the job poster from EquifindBringing together top quality finance professionals with market leading financial services organisationsEquifind 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 related.Key duties and responsibilities for this compliance analyst position include:Manage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal policies.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 sourcesProvide 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 arise.Stay up to date with relevant regulatory compliance requirements and industry best practices.Management and enhancement of internal compliance monitoringOversight of the firm’s governance structures including the SMCR frameworkCustody oversight (client money and client assets)Ensure the compliance monitoring of appointed representatives is up to dateAssist with risk management practicesExperience & Qualifications2-4 years’ practical experience in a compliance/onboarding positionA basic understanding of compliance and onboardingKnowledge of private equity or venture capital would be a bigplusExcellent communication and interpersonal skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectivelyProficiency in using multiple CRM systemsKnowledge of FCA industry standards, regulations, and anti-financial crime mattersThe OrganisationA 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 solutions.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 experience.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 their 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, andlearnfrom.SalaryThis exciting opportunity for a compliance analyst will ideally start in the next few weeks.We will be looking at candidates in the range of £40k-£50k, depending on individual backgrounds, qualifications, and years of experience.This is a hybrid opportunity and three days per week in the London office is required. 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 related.Key duties and responsibilities for this compliance analyst position include:Manage the new client onboarding process, guiding clients through the onboarding process, ensuring compliance with regulatory requirements and internal policies.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 sourcesProvide 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 arise.Stay up to date with relevant regulatory compliance requirements and industry best practices.Management and enhancement of internal compliance monitoringOversight of the firm’s governance structures including the SMCR frameworkCustody oversight (client money and client assets)Ensure the compliance monitoring of appointed representatives is up to dateAssist with risk management practicesExperience & Qualifications2-4 years’ practical experience in a compliance/onboarding positionA basic understanding of compliance and onboardingKnowledge of private equity or venture capital would be a bigplusExcellent communication and interpersonal skillsAttention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectivelyProficiency in using multiple CRM systemsKnowledge of FCA industry standards, regulations, and anti-financial crime mattersThe OrganisationA 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 solutions.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 experience.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 their 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, andlearnfrom.SalaryThis exciting opportunity for a compliance analyst will ideally start in the next few weeks.We will be looking at candidates in the range of £40k-£50k, depending on individual backgrounds, qualifications, and years of experience.This is a hybrid opportunity and three days per week in the London office is required. Seniority levelSeniority level Associate Employment typeEmployment type Full-time Job functionJob function Legal Industries Venture Capital and Private Equity Principals, Investment Management, and Financial Services Referrals increase your chances of interviewing at Equifind by 2xGet notified about new
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