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 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 sources
• Provide 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 monitoring
• Oversight of the firm’s governance structures including the SMCR framework
• Custody oversight (client money and client assets)
• Ensure the compliance monitoring of appointed representatives is up to date
• Assist with risk management practices

Experience & Qualifications

• 2-4 years’ practical experience in a compliance/onboarding position
• A basic understanding of compliance and onboarding
• Knowledge of private equity or venture capital would be a big plus
• Excellent communication and interpersonal skills
• Attention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectively
• Proficiency in using multiple CRM systems
• Knowledge of FCA industry standards, regulations, and anti-financial crime matters

About the business

A 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 have 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.

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. A real hands-on, roll-up your sleeves position, in a true SME.

Salary

This 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-£55k, depending on individual backgrounds, qualifications, and years of experience.

This is a hybrid opportunity and three days per week in the office is required.