Compliance Analyst

Job details

Location Horsham, United Kingdom
Date Posted 19th September 2019
Category Compliance
Sector Investment
Retirement Planning
Salary £25000 to £30,000 + benefits
Industry Financial Services
Education N/A
Professional Quals None required per se
Work Hours Full
Reference 5045
Hiring Company Recruitment Connection Ltd
Region South East
Street Address N/A


Compliance Analyst

£25000 to £30,000 + benefits

West Sussex

A key role that is to provide assurance, advice and guidance to the business in regards to the UK and EU regulatory system with the firms client on-line platform.

  • You will undertake compliance monitoring across the company’s platform, quality reviewing all areas of the business, including analysis, communication, resolution process and record retention.
  • Conducting case reviews and complete enhanced due diligence and monitoring processes, including risk assessments.
  • First line escalation point for compliance queries (including AML referrals).
  • Planning and ownership of projects and ad-hoc tasks as required by management.

You will need:-

  • Good knowledge of FCA rules and their interpretation/application.
  • Good knowledge retail investments, savings and pensions.
  • Ability to communicate with others confidently whilst remaining flexible/adaptable.

Ref: 5045

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Simon Bean is managing director of the Recruitment Connection and has been recruiting since 1985. He is a Fellow of the Institute of Recruitment Professionals (IRP).