Compliance Analyst in England

Position:
Compliance Analyst / Senior Analyst
Compliance Purpose:
An exciting opportunity for a Compliance Analyst or Senior analyst (depending on experience) to join our Compliance Team.
You will support the Company and its employees to implement, monitor and maintain effective processes, procedures, systems, and controls to ensure compliance with regulatory obligations.
Department:
Compliance Team
Reporting Line:
Head of Compliance
Location:
London
Record is a leading specialist currency and asset manager with $***** billion (as at 30 September ****) in Assets Under Management Equivalent.
Record\’s services include currency management, sustainable finance, and asset management.
Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.
Record\’s offices are in London in the UK, Zürich, Hamburg, and New York.
Key Result Area:
You will be responsible for implementing, maintaining and monitoring all aspects of compliance policies.
The role is independent of the business activities of the firm and involves:
Develop technical knowledge and keep technical knowledge up to date;
Implementing policies and adhering to procedures;
Compliance monitoring & KYC activities;
Proactively consider compliance policies and procedures and suggest enhancements, new ways to do things (manual or using technology) and suggesting processes for evolving services;
Periodic regulatory, client & internal report preparation, notifications and returns;
Measures to identify and mitigate prudential, conduct and other risks to promote an environment of sound corporate governance;
Undertaking ad-hoc investigations, thematic project work and process improvements;
Maintaining compliance logs; and
Monitoring contractual compliance obligations.
Requirements
Experience in a compliance-based role (preferably within the financial services industry)
Recent experience in compliance monitoring;
An understanding of financial services regulations in the UK and EU;
Exposure to US regulations is desirable but not essential;
Strong academic background.
Ideally educated at degree level;
Analytical and accurate, with strong respect for adhering to rules/regulations
Excellent communication skills with a high level of energy and commitment, capacity to build strong relationships, and take initiative; and willing to learn
Strong IT literacy with good knowledge of Excel and Word.
Motivated to incorporate artificial intelligence into the role to improve efficiency and innovation
Resourceful and positive approach to problem solving
Excellent communication skills, both with internal and external parties
Pension – defined contribution scheme: 11% employer contribution plus may elect for additional personal contributions.
Some cash flexibility allowed
Private medical (BUPA) employee cover – option to purchase cover for partner and family
Dental insurance – employee cover and option to purchase cover for partner and family
Life insurance
Permanent health insurance
Medical health assessments
Salary sacrifice car scheme
Train travel season ticket loan
Subsidised gym membership
Share incentive plan (SIP) with Record matching
20 days minimum holiday, discretional additional holiday may be taken
Record is proud to be an equal opportunities employer.
for our employees to reach their full potential they need to feel valued, included and respected.
this is the culture that record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.
DisabilityConfident
As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background.
Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.
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