Compliance Analyst (Financial Services)

Compliance Analyst Hybrid The Role: The Regulatory Compliance function supports the implementation and oversight of a robust framework, proactively ensuring regulatory compliance and maintaining regulatory relationships effectively. The role of the Regulatory Compliance Analyst will contribute to the ongoing development of the Regulatory Compliance department, collaborating with internal and external stakeholders to safeguard the firm's reputation and establish systems and controls to support controlled business growth within risk parameters. The role serves as an ambassador for the Compliance department as the business expands. Key Responsibilities: - Assist in the implementation and development of the Compliance Monitoring Programme, including hands-on review and testing. - Execute the Compliance Monitoring Program (CMP), adapting as necessary for other jurisdictions. - Provide project support for strategic regulatory initiatives such as licensing, new regulations, or remediation activities. - Act as a point of contact for business stakeholders for escalations or advice on regulatory matters. - Liaise with auditors, banking counterparties, or regulators to address questions and ensure timely responses. - Compile, enhance, and present Management Information related to Compliance and Risk. - Support Senior Regulatory Compliance Manager & Senior Regulatory Analyst in promoting strong governance across the business. - Conduct horizon scanning and provide regular updates on industry regulations across jurisdictions. - Implement and maintain training and Senior Managers and Certification Regime (SMCR) across the business. - Review and log all financial promotions across the business. - Review regulatory obligations regarding website disclosures. Skills, Knowledge, and Behaviours: - 2-3 years of experience in compliance or regulatory function, ideally within regulated payment services, e-money, or Forex/Options trading. - Understanding of FCA regulations and other relevant regulatory frameworks. - Ability to update Policies and Procedures and communicate changes effectively. - Track and manage team activities, ensuring timely delivery of key milestones and regulatory reporting requirements. - Strong communication skills, both written and verbal, with the ability to address senior audiences confidently. - Attention to detail and ability to simplify complex matters. - Proactive, risk-based attitude with a desire for continual learning. - Desired Experience: - Legal background or relevant qualifications. - CISI or ICA qualification. - Experience with Data Analysis tools like SQL or Power BI. Equality, Diversity, and Inclusion: We are committed to equality of opportunity for all staff and encourage applications from individuals regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religious belief, and marriage and civil partnerships