Clayton Davies
Compliance Analyst
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⭐️ Compliance Analyst
📍 Home Based
💰 Competitive Salary
Our client is a leading wealth management firm who are seeking a Compliance Analyst to join their compliance function and play a key role in supporting both regulatory oversight and financial crime prevention activities.
Working closely with senior compliance professionals, you will help ensure the business maintains robust regulatory and financial crime controls across its operations. You'll be involved in monitoring activities, maintaining compliance records, supporting governance processes, and helping colleagues navigate day-to-day compliance requirements.
Role & Responsibilities: 📋
Financial Crime & Risk Oversight
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- Support the firm's financial crime and AML framework.
- Conduct customer due diligence and electronic verification checks.
- Review and investigate screening alerts and exceptions.
- Maintain key records, logs and control registers.
- Assist with ongoing monitoring and risk reviews.
- Produce regular reporting and management information for internal stakeholders.
Compliance Support
- Assist with the administration and maintenance of compliance policies and procedures.
- Respond to routine compliance queries from colleagues across the business.
- Support regulatory and governance activities.
- Contribute to compliance monitoring exercises and thematic reviews.
- Help identify areas for process improvement and increased efficiency.
- Provide support on compliance-related projects and initiatives.
- Prepare reports and analysis to support decision-making and oversight.
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Do you have the following to apply? ✅
- 1-2 years’ experience within an IFA or Wealth Management firm.
- Knowledge of the FCA Handbook and regulatory expectations
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
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