Financial Crime Operations Analyst in Bath

This role sits within the Financial Crime Operations Team.
The Financial Crime Operations Analyst plays a crucial role in ensuring Wealthtime\’s compliance with regulatory requirements by supporting Wealthtime\’s first line of defence responsibilities.
You will be instrumental in supporting the first-line function, helping to document and enforce compliance across the Business.
The role involves acting as a key point of contact for ensuring that relevant regulations are adhered to.
Key responsibilities:
Regulatory Compliance and Investigations
Complete initial KYC & KYB checks on clients and advisers.
Verify the legitimacy of Business entities by researching ownership structures, beneficial owners, and associated individuals.
Execute rectification duties as needed, ensuring prompt and accurate resolution of issues.
Process Monitoring and Analysis
Monitoring outcomes provided to Clients, ensuring adherence to established processes and identifying any potential risks.
Assess outcomes across the distribution chain, escalating any instances of poor performance or non- compliance.
Evaluate the fairness of value provided to customers by all participants in the distribution chain.
MI Analysis and Reporting
Analyse MI to monitor compliance with internal and regulatory requirements among business partners.
Conduct oversight reviews and quality assurance (QA) of outcomes delivered, ensuring consistency and high standards.
Manage and deliver findings from assessments, including customer notifications where necessary.
Collaborations and Communication
Serve pro-actively as a consumer advocate within the Business, ensuring customer-centric decision-making.
Collaborate with compliance functions to maintain consistency in compliance messaging
Given this is a new role you may be required to undertake other activities and additional responsibilities that fall within your capabilities as directed by management, as the role develops and is embedded.
Specialist Skills, Qualifications and Experience:
An interest in developing a career in financial regulation, specifically financial crime
Experience in a role which requires you to think \”outside of the box\” to investigate complex cases.
Data analysis skills with the ability to identify trends and insights from complex data sets.
Proficiency in MS Excel and other MS Tools
Strong attention to detail with the ability to work independently and under pressure to meet tight deadlines.
Desirable:
Flexibility and strong prioritisation skills, allowing you to adapt to changing Business needs.
Background in investments and/or DFMs, with involvement in oversight, onboarding or distributor-related activities.
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