ENTRY LEVEL Compliance Analyst (Financial Services - NOT HR)

​£20k​ - £30k
05 Jan 2019

Do you have at least a years' experience within retail banking and are looking for an opportunity to grow your career within a global front runner in the financial services?

We're looking for a motivated self-starter who is keen to learn and grow their career within the financial services sector. Must have at least 1 year within retail banking as well as a relevant degree/qualification within a financial/analytical/business subject.

Will pay up to £11.72/hour (plus holiday) Approx. £24,400pa

3 Month initial contract - likely to extend

The Role

Serves as an EMEA Markets and Securities Services compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported EMEA Markets and Securities Services businesses and guidance on EMEA Markets and Securities Services rules/laws.

Key Responsibilities:

  • Assisting and supporting senior staff in the design, development, delivery and maintenance of best-in-class Compliance, programs, policies and practices for ICRM.
  • Assisting with investigations, reconciliation procedures and preparing routine correspondence.
  • Assisting with regulatory inquiries and/or examinations.
  • Researching rules/rule changes and implements policies, procedures or other controls necessary to comply with the rules.
  • Creating and maintaining reports for control, tracking, and analysis purposes and ensuring appropriate and secure retention of documents.
  • Preparing, editing and maintaining Compliance program related materials.
  • Coordinating, track and time manage policy and training initiatives.
  • Interacting and working with other areas within ICRM, as necessary.
  • Additional duties as assigned.
    • Undertake risk-based compliance monitoring in accordance with company standards to confirm required regulatory and internal requirements are being met and identify and escalate any exceptions
    • Document issues and work with the appropriate stakeholders to ensure that issues are resolved or remediated satisfactorily and within agreed timeframes

Key Skills & Experience

  • Bachelor's degree; some experience in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Strong project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Some knowledge of compliance laws, rules, regulations, risks and typologies,
  • Some knowledge in area of focus

Morgan McKinley is acting as an Employment Business in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

Rebecca Matthews's picture
Delivery Consultant | National Delivery Hub
Bristol +00441179440600 | rmatthews@morganmckinley.co.uk