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Compliance Analyst
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Compliance Analyst – Financial Services
We’re working with an established FCA-regulated specialist finance business looking to add a Compliance Analyst to its growing Compliance function.
This is a broad Compliance role rather than a narrow monitoring position, offering exposure across Compliance Monitoring, Financial Crime, regulatory change, policies, reporting and wider advisory work.
A key part of the position will be supporting the firm’s ongoing monitoring activity, including reviewing customer activity, investigating potential concerns and supporting the internal SAR process.
The role will include:
- Supporting ongoing Compliance and Financial Crime monitoring.
- Reviewing customer activity and investigating potential issues or alerts.
- Preparing and escalating internal Suspicious Activity Reports where appropriate.
- Supporting sanctions, PEP, adverse media, CDD and EDD activity.
- Assisting with Compliance Monitoring reviews and control testing.
- Maintaining Compliance registers, logs and management information.
- Supporting regulatory reporting and FCA-related requests.
- Assisting with regulatory change and updates to policies and procedures.
- Providing day-to-day Compliance support to the wider business.
- Working closely with senior members of the Compliance team on ad hoc regulatory projects.
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We’re looking for:
- Someone with experience in Compliance, Financial Crime, AML, Risk or a related financial services role who is looking to develop broader Compliance experience.
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You’ll ideally have exposure to some of the following:
- FCA-regulated financial services.
- Compliance or Financial Crime monitoring.
- AML and suspicious activity investigations.
- CDD / EDD.
- FCA regulation and the FCA Handbook.
- Compliance reporting or regulatory change.
Experience within lending, mortgages, specialist finance or brokerage would be particularly relevant, although it isn’t essential.
This would suit someone who is analytical, inquisitive and keen to build a career within a broad Compliance function rather than becoming overly specialised too early.
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