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- Tasks: Ensure compliance with FCA regulations and monitor risk-based compliance programs.
- Company: Join an international multi-asset platform focused on compliance and regulatory excellence.
- Benefits: Gain valuable experience in a fast-paced environment with potential for career growth.
- Why this job: Perfect for those passionate about compliance and making a real impact in finance.
- Qualifications: 2+ years in compliance, strong knowledge of retail investment products, and Excel skills required.
- Other info: This is a 4-6 month fixed-term contract with opportunities to learn and grow.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: We are working with an international multi-asset platform who are searching for a Junior Compliance Analyst on an FTC basis.
THE RESPONSIBILITIES:
- Ensuring compliance with FCA regulations, in particular the rules relating to Conduct of Business (“COBS”).
- Execution of a risk-based compliance monitoring programme (related to the Company’s operations), in line with regulatory guidelines and in conjunction with business and compliance departments in other parts of the Group.
- Monitoring the complaints handling and vulnerability processes and reviewing and reporting on root cause analysis.
- Responding to Financial Ombudsman Service cases.
- Investigation of suspicious transactions and orders (market surveillance).
- Assisting in the administration of the Senior Managers and Certification Function Regime.
- Liaising with operational units on regulatory compliance matters and fostering a culture of compliance by design.
- Assisting in thematic and ad-hoc regulatory enquiries where required.
- Ensuring that the Firm maintains accurate, detailed and up to date records across all areas of the Firm’s business.
EXPERIENCE REQUIRED:
- Strong knowledge of retail investment products, crypto assets etc. Must have worked in such environments previously.
- Need some experience to be able to deal with the FOS complaints.
- Previous experience (at least 2 years) in a relevant compliance function within a comparable environment.
- Organised and articulate.
- Ideally possess technical skills (Excel) to aid in the analysis of data.
- Be capable of showing an impressive track record of having performed under similar situations in a fast-paced, multi-regulated, multi-asset environment.
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Compliance Analyst (4-6 month FTC) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst (4-6 month FTC)
✨Tip Number 1
Familiarize yourself with FCA regulations, especially the Conduct of Business rules. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Highlight any experience you have with retail investment products and crypto assets. Be ready to discuss specific examples of how you've navigated compliance issues in these areas.
✨Tip Number 3
Prepare to talk about your experience with the Financial Ombudsman Service (FOS) complaints. Share instances where you've successfully resolved complaints or improved processes related to them.
✨Tip Number 4
Showcase your technical skills, particularly in Excel. Be prepared to discuss how you've used data analysis in previous roles to support compliance efforts or monitor risks.
We think you need these skills to ace Compliance Analyst (4-6 month FTC)
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities and requirements. Tailor your application to highlight your relevant experience in compliance, particularly with FCA regulations and handling FOS complaints.
Highlight Relevant Experience: In your CV and cover letter, emphasize your previous experience in compliance functions, especially in environments dealing with retail investment products and crypto assets. Provide specific examples of how you've successfully managed compliance tasks in fast-paced settings.
Showcase Technical Skills: If you have technical skills, particularly in Excel, make sure to mention them. Describe how you've used these skills in your previous roles to analyze data or support compliance monitoring programs.
Craft a Strong Cover Letter: Write a compelling cover letter that not only summarizes your qualifications but also demonstrates your passion for compliance and your understanding of the importance of regulatory adherence. Mention your ability to foster a culture of compliance by design.
How to prepare for a job interview at Compliance Professionals
✨Show Your Knowledge of FCA Regulations
Make sure to brush up on the FCA regulations, especially the Conduct of Business rules. Demonstrating a solid understanding of these regulations will show that you're serious about compliance and ready to hit the ground running.
✨Highlight Relevant Experience
Be prepared to discuss your previous experience in compliance roles, particularly any work with retail investment products or crypto assets. Sharing specific examples of how you've handled FOS complaints or conducted investigations will make you stand out.
✨Demonstrate Analytical Skills
Since the role requires technical skills, especially in Excel, be ready to talk about how you've used data analysis in past positions. You might even want to bring examples of reports or analyses you've completed to showcase your capabilities.
✨Foster a Culture of Compliance
Discuss how you've contributed to a culture of compliance in your previous roles. Share instances where you've worked collaboratively with other departments to ensure regulatory compliance, as this aligns with the company's emphasis on compliance by design.
