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Compliance Analyst

Job Seekers United Kingdom Compliance

Job Summary

  • Horsham
  • Permanent
  • BBBH822500
  • Jul 15, 2022
  • £35k - £40k
Job Description

Compliance & Quality Risk Analyst (Internal Projects) - 9-12 Month Fixed Term Contract

The opportunity for an experienced compliance professional to join an established IFA group who provide exemplary wealth advice to their clients.

Role Overview

Our client is looking for an experienced Compliance Quality & Risk Analyst to deliver the functions of File Review Service to Directly Authorised IFA firms. You will have the opportunity to work autonomously whilst working within a small team environment. You will be responsible for setting up and monitoring compliance processes alongside advising the IFAs relating to FCA regulation.

It is important that administrative and compliance services are delivered to the business in a manner which is consistent with the increasingly competitive environment in which the firm operates.

Main Duties and Responsibilities

  • Maintain a systematic, comprehensive scheme of file monitoring across the business and IFA Firms, in accordance with regulatory requirements
  • Undertake quality of advice reviews across all areas of the business and all AR and Directly Authorised member IFA Firms, maintaining accurate records of trends and communicating them to the team within desired timescales
  • Undertake enhanced monitoring, risk assessment tasks and focused business reviews as per the needs of the business and / or instructions of the management team
  • Assess and review an extensive range of Exception Reporting to analyse for trends
  • Assist the team with pre-approval requirements in specific advice areas.
  • Undertake supporting monitoring tasks for the compliance team as required

Relevant Experience :

  • Excellent knowledge of retail investment, savings, pension and protection products in the IFA sector
  • Strong knowledge of FCA rules and their interpretation/application
  • Ability to communicate with others confidently whilst remaining flexible/adaptable
  • Highly developed analytical, observational, written and verbal communication skills
  • Ideally a graduate with previous experience working independently, and with a team within a financial services or professional services environment.
  • Ability to research, extract and compile information from various sources and have excellent communication skills, both written and verbal.

What can we offer you?

  • Agile working i.e. the opportunity to work from home, subject to diary commitments;
  • 25 days' annual leave entitlement and the opportunity to purchase or roll over 5 days;
  • The ability to claim up to 5 days towards parental or caring responsibilities;
  • Contributory pension of up to 5%;
  • Private healthcare;
  • Death in service cover (4 x base salary);
  • Eligibility to apply for an interest free season ticket loan, an interest free gym membership loan and / or an interest free rental deposit loan;
  • Cycle to work scheme;

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

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Consultant Details

Consultant Details

Matt Novis
Matt Novis
  • Principal Consultant
  • (Office) +44 (0)1293 523 400 (Mobile) +44 (0)7943 657 648
  • mnovis@morganmckinley.com