Senior Compliance Analyst

Job description

Role summary:

You will support management in ensuring that the local activities of this global financial services group are undertaken in accordance with regulatory and statutory requirements and in accordance with group procedures. This will require constructing and implementing a strong compliance narrative and managing the day to day regulatory affairs of the business.

The successful applicant will work for the local management team but report centrally to a group compliance function.

Key responsibilities:

Your primary responsibility will be identifying the regulation and guidance applicable to the various products offered locally and constructing and implementing a compliance monitoring programme in the group format. This will involve working closely with local management and client service teams to ensure that the business always maintains a strong and demonstratable compliance narrative.

You will be also be responsible for managing the local compliance functions allocated to you. This is likely to include:

  • Supporting local management and service teams with routine regulatory matters and ensuring that all necessary training is provided;
  • Co-ordination of first- and second-line due diligence ensuring that the necessary roles are fulfilled and undertaken in accordance with applicable rules;
  • Identifying any areas of the operating environment that could be improved from a regulatory perspective and supporting the risk function in reengineering processes and developing new policies to strengthen the compliance toolkit;
  • Identifying regulatory change and working with key stakeholders locally to manage this;
  • Ensuring that all necessary first- and second-line regulatory reporting is submitted in a timely manner;
  • Working with the key stakeholders at a group level to ensure a consistent approach is taken to developing a co-ordinated control platform across the group; and
  • Working with internal and external audit partners and liaising with applicable authorities.

You also may be required to perform other duties to support the compliance function as may be necessary from time to time.


Skills / experience:

  • You have a sound academic background with good written skills. A professional qualification relevant to a compliance, legal, accounting or audit role would be preferred.
  • A strong interest in financial services and the international finance industry.
  • Regulatory experience in the financial services sector or another regulated sector requiring strong technical skills. Prior local experience is preferred, but we will also consider other candidates interested in relocating.
  • A collegiate mindset appropriate for the second line and excellent communication skills will be required. The candidate will be expected to work closely with other stakeholders across the business.
  • You have a good working knowledge of Microsoft products, in particular Outlook, Word and Excel.