Compliance Analyst
Location United States
Posted Date October 20, 2023
Company Email [email protected]
Company Website
Job type Full Time
Package (per year) 40000.00 - 50000.00
Application Last Date November 29, 2023

Are you a proactive and detail-oriented professional with a passion for ensuring regulatory compliance? We are currently seeking a Compliance Analyst to join our dynamic team in London. In this role, you will play a crucial part in supporting the Head of Compliance & Legal in overseeing the Anti-Money Laundering (AML), Risk & Compliance functions for both our London and European offices. If you are looking to take the next step in your compliance career and want to be part of a fast-paced Financial Services firm, this opportunity could be perfect for you.

This role not only offers hands-on experience but also provides access to talent development initiatives, enabling you to expand your skill set and further your career in compliance. Join us and become an integral part of our journey in maintaining the highest standards of regulatory compliance.

Key Tasks and Responsibilities:

1. Know-Your-Client (KYC) Process: Assist in the client account opening and money laundering procedures, including sanction checks. Identify and escalate AML, CTF, Sanction/PEP concerns to the MLRO.

2. Compliance Monitoring Activities: Support Compliance Monitoring activities across European offices. This includes transaction reporting, market abuse monitoring, detailed reviews, and ensuring proper investigation and documentation of potential breaches. Maintain an up-to-date action log and assist in email reviews.

3. Compliance Registers: Assist with approvals and oversee the maintenance and accuracy of registers, including Complaints, Data Breaches, Watch Lists, PA Dealing, Training, G&E, Breaches, Financial Promotions, and Certification Regime. Actively monitor and escalate trends within the department.

4. Management Reports: Participate in preparatory work for Board Meetings.

5. Data Protection: Support data protection responsibilities.

6. Compliance Procedures Manuals: Assist in updating and enhancing manuals, policies, and procedures. Promote compliance policies and procedures among associates.

7. Training: Contribute to compliance training initiatives.

8. New Joiner Process:** Assist in new staff inductions and attestations.

9. Regulatory and Industry Updates: Stay up to date with regulatory and industry developments and assist in implementation projects as required.

10. Ancillary Administrative Tasks: Perform additional administrative tasks as necessary.

Required Experience:

- Minimum of 1 to 2 years of experience in a financial services environment.
- Some experience in a relevant field, such as compliance monitoring or financial crime, is preferred.
- A legal background is preferable.

Key Required Skills/Competencies:

- High level of tenacity and a 'can do' attitude.
- Ability to work to tight deadlines while maintaining a high standard of work.
- Demonstrated ability to work effectively in both team and independent settings, taking initiative when necessary.
- Identify and escalate areas of inefficiency and risk to the compliance team.
- Adapt personal style and approach as appropriate to meet the business's needs without compromising standards.
- Exceptional organizational and administrative skills.
- Structured in approach but flexible enough to thrive in an ever-changing environment.
- Personable, approachable, and energetic.
- A degree with a 2:1 or above is required.

Join us at this exciting juncture in our journey, and together, we can ensure regulatory compliance while advancing your career in compliance.

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If you are ready to take your compliance career to the next level, apply now and become an essential part of our compliance team in the heart of London. Your expertise and dedication will play a vital role in upholding our commitment to regulatory excellence.