Legal and Compliance Analyst

As the new Compliance Analyst you'll be the one who will be responsible for carrying out planned compliance reviews and assessments, focusing on the delivery of good outcomes.

Client Details

My client are a small and newly formed financial services joint venture business operating across the UK. We have a brand new and exciting job opening within the Legal and Compliance team as Compliance Analyst.

Description

Reporting directly to the Legal & Complaince Director (LCD) you will be responsible for assisting in the design and development of the new company's compliance framework. You will provide compliance support and regulatory advice / guidance to the business and be an ambassador for "positive FCA compliance".

· Assisting the LCD in developing an annual activity plan outlining timings and high-level deliverables and delivering the plan in line with the prescribed timings

· Supporting the LCD with regulatory reporting responsibilities

· Undertaking reviews in accordance with the agreed compliance plan, assessing the effectiveness of key conduct risks and regulatory control processes to assess delivery of intended business and regulatory outcomes, including adherence to regulatory and company standards

· Conducting compliance monitoring / testing activities

· Writing reports that present monitoring results, capturing findings and actions

· Maintaining up-to-date awareness of all relevant legislation and market best practices

· Working to continually refine business policies and processes and acting as internal 'technical compliance expert' within the organisation

· Providing compliance support with respect to any initiatives or development of new products or distribution channels

· Identifying risks, incidents and breaches in line with the company's risk and compliance statement of responsibility and objectives, in accordance with company policies and department procedures

Profile

The ideal candidate will have experience in delivering a compliance framework within an FCA-regulated environment. You will have worked in an audit, project management or quality management environment and be able to produce sound working documentation and presentations, including business case proposals and requirements, briefs and presentations.

Strong communication skills, both written and verbal, are paramount, making use of clear and concise plain English.

You will have an appreciation of legal, regulatory and compliance issues relating to the use of customer data and be familiar with the principles encapsulated within 'treating customers fairly' and conduct risk.

You will be able to demonstrate success in building excellent rapport with both internal and external stakeholders, and the enthusiasm to develop professional working relationships throughout the business.

A qualification in law or other related field or equivalent in working experience is highly desirable, or the willingness to work towards a professional qualification.

Job Offer

· Pay £30,000-£40,000, depending on experience, reviewed and bench marked annually

· Bonus - a discretionary, performance-related bonus scheme that rewards you while you help us to achieve our goals

· Work and home life balance - we support a minimum of 27 days holiday per year, the option to buy and sell holiday and a 35-hour flexible working week

· Health and wellbeing - a contributory pension scheme with death in service cover

· Access to my clients preferential employee lease car scheme

· Other benefits include access to a suite of flexible benefits along with free onsite parking at the office and subsidised onsite restaurant