Senior Regulatory Compliance Analyst (temp)

THE COMPANY:
We are working exclusively with a trading and investing platform in their search for a Senior Regulatory Compliance Analyst.
THE RESPONSIBILITIES:
Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”). Reporting to senior stakeholders on the effectiveness of compliance procedures, the provision and analysis of appropriate management Information, and regulatory updates relevant to the Company. Assisting in compliance oversight of all activities outsourced to other entities. Execution of a risk-based compliance monitoring programme (related to the Company’s operations), in line with regulatory guidelines and in conjunction with business and compliance departments in other parts of the Group. Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis. Compliance oversight of financial promotions issued by the Company. Investigation of suspicious transactions and orders (market surveillance). Carrying out of regular assessments of staff fitness and propriety, ensuring that all staff receive appropriate training. Assisting in the administration of the Senior Managers and Certification Function Regime. Assisting in the documentation of internal controls, policies and procedures Working on data projects – construction and analysis of reports. Liaising with operational units on regulatory compliance matters and fostering a culture of compliance by design Assisting in thematic and ad-hoc regulatory enquiries where required. Seeking continuous improvement to streamline compliance processes and achieving industry best practice in all related activities (utilising technology solutions where appropriate). Ensuring that the Firm maintains accurate, detailed and up to date records across all areas of the Firm’s business. Utilising technology to innovate and aid compliance.
EXPERIENCE REQUIRED:
Strong knowledge of retail investment products, crypto assets, EMI/PSP/card issuing activities.
Must have worked in such environments previously. Previous experience (at least 4 years) in a relevant compliance function within a comparable environment. Ideally possess technical skills (Excel/VBA) to aid in the analysis of data. Knowledge and experience of Conduct Risk management frameworks and best practice. Able to interpret, analyse and disseminate regulatory and technical documentation (FCA handbook, consultation papers and Dear CEO letters for example).
For further information please contact Marcus Courtney
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