Compliance Analyst

• Monitoring Compliance: Assist in monitoring the firm's compliance with regulatory requirements and internal policies, particularly those related to wealth management
• Conducting Reviews: Support the review of client files and documentation to ensure compliance with current standards and regulations, including anti-money laundering (AML) and know your customer (KYC) requirements
• Identifying Issues: Help identify and report any compliance issues or discrepancies, especially those related to high-risk clients and transactions
• Documenting Findings: Maintain accurate records of compliance reviews and findings
• Providing Support: Assist in providing feedback and support to advisers and other team members to improve compliance practices
• Updating Records: Ensure that all compliance records are updated accurately and timely
• Collaborating with Teams: Work closely with their compliance colleagues to address regulatory concerns and implement necessary changes
• Reporting: Assist in preparing reports for senior management on compliance activities and any significant issues identified
• Staying Informed: Keep up to date with changes in financial regulations and industry best practices to ensure ongoing compliance
• Supporting Audits: Assist in internal and external audits by providing necessary documentation and explanations
• Creating and Maintaining MI: Develop, maintain, and enhance Management Information (MI) reports to support compliance monitoring and decision-making

• Experience within wealth management
• Level 4 diploma in financial services (or close to achieving it)
• Keen interest in developing a career in a compliance function

flexible working from home