Compliance Analyst

My Client, a leading Investment Bank is looking to expand their Compliance team by hiring a Compliance nalyst.
The core function of Compliance Analyst is to perform assistance in all areas of Compliance and maintain accurate record keeping - ensuring compliance with "Know Your Customer" (KYC) requirements as specified by UK regulatory /UK industry best practise and in the Group requirements.

As a Compliance Analyst, general responsibilities will include:

-Assist day-to-day activities in the Internal Control and Compliance Unit as a whole.
-Work as part of the team carrying out client due diligence (KYC/CDD) and categorisation as part of the client on-boarding process in line with the firm's risk based approach, mainly for wholesale clients.
-Logging requests and processing them in the firm's client maintenance database.
-Carry out Anti-Money Laundering and Counter Terrorist Financing monitoring involving checking clients and ensuring that new and existing clients are maintained in line with UK Anti-Money Laundering and Counter Terrorist Financing requirements.
- Conducting Country Risk Assessments ascertaining the AML/CTF risks involved in trading with companies based in various countries
- Ensuring new staff are fully aware of FSA regulations and to update and train all staff on firms training and competency rules.
-Dealing with FSA registration and deregistration process including all administering exam and training bookings.
- Undertake risk based monitoring on a daily, monthly, quarterly and annual basis to ensure adherence and compliance to UK financial Regulatory requirements.
-Reviewing Investment research and marketing material to ensure it complies with the firms policies ensuring it is clear, fair and not misleading.
-Assisting with drafting compliance policies and procedures.

The position of Compliance Analyst will require the right candidate to have fast and accurate typing skills with a focus on accurate record keeping. Ideally you will have the working skills and knowledge and have come from a background where similar duties have been performed. You will have a good understanding of the law, regulations, and risk based approach in relation to AML and client due diligence and its application to wholesale clients.

If you are interested in applying for the role of Compliance Analyst, then please apply via the website.


Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Temporaries Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Temporaries Ltd is acting as an Employment Agency in relation to this vacancy.

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