Graduate Compliance Analyst

Overview

Optima Partners is a unique global firm which understands that its people are its greatest asset. We are therefore 100% committed to attracting and keeping the highest quality people. As a market leading and growing firm with a very flat structure, we offer our people the chance to move forward quickly in their career within a meritocratic culture.

The core values that our team share are being proactive, solutions focused, interactive and dynamic in the ever evolving industry that we work in. We seek to encourage new ideas and proactive thinking across all members of the team and constantly invest in new people that share our values.

Optima Partners presents its people with a unique opportunity to work collectively and collaboratively within our global team as well as a platform to reap the rewards of strong performance. Optima’s experienced global team will accelerate the Analyst’s learning and growth by providing frequent training on various topics, shaping the Analyst’s career path to becoming an expert compliance professional in the financial services industry.

This is a full-time opportunity with 3 days in-office weekly. The total starting compensation is 30,000 GBP annually.

Responsibilities

• Registering clients as regulated entities with the Financial Conduct Authority (\”FCA\”) in the UK
• Developing and implementing compliance policies and procedure
• Preparing and maintaining employee certifications on behalf of clients in accordance with the FCA\’s Senior Management Certification Regimes (\”SMCR\”)
• Monitoring employee personal trading activities and electronic communications on behalf of clients
• Monitoring expert network calls on behalf of clients
• Performing periodic compliance monitoring testing across specific FCA regulatory conduct of business requirements and regulatory themes, such as personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interests, as part of client’s compliance monitoring program
• Assisting in annual compliance reviews and mock regulatory thematic reviews and investigations
• Assisting in providing regulatory review support

Requirements

• University degree
• Expected to complete a CISI diploma fully funded by Optima (except for resits)
• Excellent written and verbal communication skills
• Independent, self–starter, as well as collaborative problem solver
• Strong analytical and research skills
• Ability to multi-task and prioritise across a range of projects with constantly shifting priorities in a team environment
• Ability to master new tasks quickly

Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.