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For Companies At a Glance
- Tasks: Join a small, dynamic team to ensure compliance and tackle financial crime risks.
- Company: A vibrant trading and broking firm within a global corporation.
- Benefits: Competitive salary, hands-on experience, and opportunities for professional growth.
- Why this job: Make a real difference in compliance while learning from industry experts.
- Qualifications: 2-4 years in compliance/legal roles; passion for regulatory work is key.
- Other info: Fast-paced environment with a focus on teamwork and innovation.
The predicted salary is between 36000 - 60000 £ per year.
Our client is a small Exchange based Trading and Broking organisation but part of a large global corporation. They are looking for a Compliance Generalist who has experience working in a small firm, exposed to a range of compliance functions. It is a very hands on, high quality small team.
Key Responsibilities
- Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
- Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
- Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
- Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
- Carrying out due diligence on third party outsourced service providers.
- Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
- Reviewing existing compliance policies and procedures and draft amendments to new procedures, where required.
- Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
- Providing staff training on compliance matters.
- Completing and submitting returns and reports to the FCA and other authorities.
- Maintaining and updating databases.
- Preparing management information and reports to internal stakeholders.
Additional Tasks
- Ad hoc research on FCA rules and laws and regulations affecting the firm.
- Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems etc.
Qualifications & Preferences
- Previous experience (ca. 2-4 years) of working within a compliance/legal department is preferred.
- Financial services (Regulated environment) experience would be advantageous.
- Passion for compliance and regulatory work and eager to learn from others and independently.
- Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills.
Compliance Analyst employer: Taylor James Resourcing
Contact Detail:
Taylor James Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial markets sector and let them know you're on the hunt for a Compliance Analyst role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on compliance regulations and recent changes in the financial sector. We recommend creating a cheat sheet of key topics to discuss, so you can impress your interviewers with your knowledge and enthusiasm for compliance.
✨Tip Number 3
Showcase your hands-on experience! When chatting with potential employers, highlight specific examples from your past roles that demonstrate your skills in anti-money laundering, CDD/KYC checks, and trade surveillance. Real-life stories make you memorable!
✨Tip Number 4
Don't forget to apply through our website! We’ve got loads of resources to help you land that Compliance Analyst gig. Plus, applying directly shows your commitment and makes it easier for us to connect you with the right opportunities.
We think you need these skills to ace Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Analyst role. Highlight your experience in compliance functions, especially in small firms, and showcase any relevant skills that match the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your previous experiences make you a great fit for our team. Keep it concise but impactful!
Showcase Your Attention to Detail: In compliance, attention to detail is key. When filling out your application, double-check for any typos or errors. This shows us you take pride in your work and understand the importance of accuracy.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Taylor James Resourcing
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those relevant to financial markets. Familiarise yourself with anti-money laundering practices and the SMCR requirements, as these are likely to come up during the interview.
✨Showcase Your Hands-On Experience
Since this role is in a small team, highlight any hands-on experience you've had in compliance functions. Be ready to discuss specific examples where you've conducted CDD/KYC checks or managed compliance tasks, as this will demonstrate your suitability for the role.
✨Prepare Questions About the Team
This position involves working closely with a small team, so prepare thoughtful questions about team dynamics and collaboration. Asking about how the team handles compliance challenges can show your interest in being an active part of their operations.
✨Demonstrate Attention to Detail
In compliance, attention to detail is crucial. During the interview, be sure to communicate your meticulous nature. You might even want to mention a time when your attention to detail helped prevent a potential issue in a previous role.
