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Senior Compliance Analyst - City based Banking Entity

Salary: £60,000 - £70,000 per annum
Location: London
Type: Permanent


City based financial services business with circa 250 staff are seeking a Senior Compliance Analyst to join their well established Compliance team with is currently round 10 in size + their 8 strong KYC team. The business has successfully acquired its deposit taking banking licence and thus is seeking an individual with PRA and banking compliance experience. You will have an awareness of the wider regulatory environment MIFiD, EMIR, etc.

Your Responsibilities

  • Carrying out research and providing advice to the business on operational, financial crime and conduct/conduct risk matters; 

  • Working with the wider Compliance team on Compliance projects;

  • Designing and developing clear and engaging reports and dashboards for forums, committees and boards to ensure consistent high quality internal reporting and MI;

  • Support the delivery of the firm’s Compliance Monitoring programme;

  • Help enhance the Compliance Monitoring programme as it evolves;

  • Focus on the key compliance risks and take a proportionate approach to scoping tests and completing testing efficiently to make the best use of available resources;

  • Coordinate the investigation and escalation of potential issues and documenting appropriate remedial actions;

  • Manage closure verification of actions following completion, including the assessment of evidence to support closure;

  • Being part of the companies various project teams

Candidate Skills (essential)

  • Previous experience of Banking, and/or Investments, whether though Compliance experience or working within the business or other controls functions; 

  • Compliance Monitoring and/or Compliance Advisory experience; 

  • Be able to read and understand the firm’s regulations, specifically relating to the PRA, the FCA Conduct requirements;

  • Good understanding of the FCA and PRA Handbooks;

  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing; 

  • Good ability to understand, write and present reports in a clear and concise manner;

  • Ability to identify the key compliance risks in the area subject to testing and to think creatively about how these risks might manifest in practice and how a test could seek to identify this;

  • Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in other business units;

  • Strong ability to challenge information received and constructive decision making;

  • Attention to detail and proactive;

  • Confidence to use own initiative and apply judgment;

  • Ability to manage delivery of a portfolio of tests and work programmes;

  • Ability to be effective under pressure;

  • Enthusiasm and aspiration to learn and develop.

Qualifications required

  • At least 5 years’ experience of working in compliance environment

  • Should have professional qualifications, and/or be degree-educated.