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For Companies At a Glance
- Tasks: Join a small, dynamic team to ensure compliance and tackle financial crime controls.
- Company: A growing 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 impact in compliance while learning from industry experts.
- Qualifications: 2-4 years in compliance/legal, with a passion for regulatory work.
- Other info: Fast-paced environment with a focus on teamwork and initiative.
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 in London employer: Taylor James Resourcing
Contact Detail:
Taylor James Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services 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 your compliance knowledge. Familiarise yourself with the latest FCA regulations and be ready to discuss how your experience aligns with the responsibilities listed in the job description. Show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation for the opportunity. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply directly through our website! We love seeing candidates who take the initiative. Plus, it gives you a better chance of standing out in the application process. Let’s get you that Compliance Analyst position!
We think you need these skills to ace Compliance Analyst in London
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 experience aligns with the responsibilities listed. Keep it concise but impactful.
Showcase Your Attention to Detail: Since this role requires a strong attention to detail, make sure your application is free from typos and errors. Double-check everything before you hit send – we want to see that you take pride in your work!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications 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 the role is in a small team, highlight your previous experience in similar environments. Be ready to discuss specific examples where you've handled compliance tasks, like customer onboarding or risk assessments, to demonstrate your practical skills.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about how you would handle potential compliance breaches or conduct due diligence on third-party providers, and be prepared to explain your thought process.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions that show your interest in the company and the role. Inquire about their current compliance challenges or how they measure success in the compliance department. This shows you're engaged and eager to contribute.
