At a Glance
- Tasks: Conduct compliance reviews and analyses for clients, ensuring regulatory adherence.
- Company: Join ACA Group, a leading governance, risk, and compliance advisor in financial services.
- Benefits: Enjoy competitive pay, bonuses, private medical insurance, and generous holiday allowance.
- Other info: Opportunities for career growth and professional development in a supportive team.
- Why this job: Make a real impact in financial services while developing your skills in a dynamic environment.
- Qualifications: Degree level education and 2-3 years of relevant financial services experience preferred.
The predicted salary is between 50000 - 60000 £ per year.
The individual in this position is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA for clients. The individual will conduct careful analyses of clients’ books and records for potential regulatory deficiencies, as well as draft reports, prepare documents, and summarise findings for clients. They are strongly encouraged to utilise additional training and development resources available to continue their development.
What you’ll do:
- Assist with ACA service offerings including, but not limited to: regulatory filings, expert network chaperoning, electronic communication review, code of ethics and personal trading reviews, marketing review.
- Analyse clients’ books and records for potential regulatory issues.
- Interpret complicated and nuanced documents to identify potential regulatory risks.
- Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to understand project scope and applicable regulatory risks.
- Draft reports for clients summarising ACA’s review and any findings from such reviews.
- Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to analyst training, attending conferences and roundtable events, and assisting with customised client engagements.
To qualify for the role you must have:
- Strong academic background (i.e. degree level or recognised professional qualification).
Ideally, you’ll also have:
- 2 - 3 years of relevant financial services experience and/or knowledge of the UK regulatory regime, such as the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directive, the Alternative Investment Funds Managers Directive, and other applicable FCA rules and guidance.
Skills and attributes for success:
- Demonstrated professional integrity.
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments commensurate with role.
- Ability to work in a fast-paced small team environment.
- Ability to establish and maintain effective working relationships with colleagues and clients.
- Highly motivated and goal-oriented; proactive in one’s own education and career progression; volunteers.
- Dedicated to upholding ACA’s high-quality standards and customer service focus.
- Strong organisational and problem-solving skills with attention to detail.
- Strong oral and written communication skills.
- Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment.
Preferred Licenses and Certification(s):
- Will be required to undertake either the Investment Management Certificate or the CISI Diploma in Investment Compliance.
What working at ACA offers:
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognised for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidised corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.
About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialised expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
Senior Compliance Analyst (MS), Regulatory Filings employer: Trellis Group
At ACA Group, we pride ourselves on being an exceptional employer, offering a dynamic work culture that fosters professional growth and development. Located in the heart of London, our team enjoys a competitive compensation package, comprehensive benefits, and ample opportunities for career advancement, all while working alongside industry experts in governance, risk, and compliance. Join us to be part of a supportive environment that values integrity, collaboration, and innovation.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Analyst (MS), Regulatory Filings
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events, webinars, or even local meetups. You never know who might have the inside scoop on job openings or can refer you directly to hiring managers.
✨Tip Number 2
Prepare for interviews by researching ACA Group thoroughly. Understand their service offerings and recent projects. This will help you tailor your responses and show that you're genuinely interested in the role and the company.
✨Tip Number 3
Practice your communication skills! As a Senior Compliance Analyst, you'll need to convey complex information clearly. Consider mock interviews with friends or mentors to refine your ability to explain regulatory concepts and findings succinctly.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re proactive and serious about joining ACA Group. Let’s get you that dream job!
We think you need these skills to ace Senior Compliance Analyst (MS), Regulatory Filings
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter for the Senior Compliance Analyst role. Highlight your relevant experience in financial services and any knowledge of UK regulatory frameworks, as this will show us you understand what we're looking for.
Showcase Your Skills:We want to see your strong organisational and problem-solving skills shine through. Use specific examples from your past work to demonstrate how you've tackled challenges and maintained high-quality standards in your previous roles.
Be Clear and Concise:When drafting your application, keep it clear and to the point. We appreciate well-structured documents that summarise your findings and experiences effectively, just like you would in a report for a client.
Apply Through Our Website:Don’t forget to submit your application through our website! This ensures we receive all your details correctly and helps us keep track of your application. Plus, it’s super easy to do!
How to prepare for a job interview at Trellis Group
✨Know Your Regulations
Make sure you brush up on the UK regulatory regime, especially the Financial Services and Markets Act 2000 and the Markets in Financial Instruments Directive. Being able to discuss these regulations confidently will show that you're not just familiar with the basics but also understand their implications in real-world scenarios.
✨Showcase Your Analytical Skills
Prepare to discuss specific examples where you've analysed complex documents or identified regulatory risks. Use the STAR method (Situation, Task, Action, Result) to structure your answers, as this will help you clearly demonstrate your problem-solving abilities and attention to detail.
✨Communicate Effectively
Since strong oral and written communication skills are crucial for this role, practice articulating your thoughts clearly. You might even want to draft a mock report summarising a compliance review to showcase your writing skills during the interview.
✨Be Proactive About Your Development
Show your enthusiasm for continuous learning by mentioning any relevant training or certifications you’re pursuing, like the Investment Management Certificate or CISI Diploma in Investment Compliance. This demonstrates your commitment to professional growth and aligns with ACA's focus on development.
