Role details

Compliance Analyst

Cardiff   •   £20,000 - £24,000   •  Permanent

Bullet points

  • Exciting opportunity with Financial Services business based in Cardiff
  • Good benefits and progression opportunities

About Our Client

Page personnel is a market leading financial recruitment specialist, part of the page group. Our client based in Cardiff and is looking to recruit a Compliance Analyst to join their finance team on a permanent basis.

Job Description

As a compliance analyst you will be responsible for -

  • To provide Compliance support and guidance to the business in the following regulatory areas: Consumer Credit, FCA, TCF, financial crime and data protection;
  • Support the Compliance framework through the implementation of appropriate Compliance policies, procedures and standards
  • Support the Senior Compliance Analyst in the creation, maintenance and delivery of a risk-based compliance monitoring programme;
  • This will include (but not be limited to) supporting the completion of compliance reviews to: provide assurance as to the design and operation of 1st Line of Defence controls in managing regulatory risk; assess the implementation of regulatory policies and procedures; and undertake other reviews as required by management;
  • Conduct regulatory reviews and write up and present findings to the compliance team;
  • Produce monthly management information reports;
  • Identify new and emerging risks from business and regulatory developments and asses their impact on the monitoring programme;
  • Effective complaints handling in line with the FCA's DISP rules in order to facilitate a legacy PPI remediation exercise which includes information gathering, root cause analysis and detailed reporting to ensure fair consumer outcomes are achieved;
  • Work with the HR and Training Departments to establish an annual training plan to ensure all employees are provided with effective FCA and compliance training, including in depth compliance inductions for all new starters;
  • To support the Senior Compliance Analyst in the roll out of the control enhancements outlined in the IO Data Protection Implementation programme;
  • Provide project management support and represent the Compliance department on a number of key strategic projects and regulatory change initiatives as and when they arise;
  • To provide support through the review of customer KYC (Know Your Customer) data from a Compliance perspective to ensure AML and sanction risk is appropriately documented;
  • Risk based decision-making on potential sanction matches that have been escalated to Compliance for review;

The Successful Applicant

  • A level or equivalent standard of education is required. Degree standard education and a relevant professional qualification desirable.
  • Regulatory compliance, investigation or audit experience gained within a financial services environment demonstrating solid understanding of the UK and EU regulatory environment.
  • AML and Data Protection experience essential.
  • Demonstrated ability to manage regulatory projects

What's on Offer

£20-24k plus excellent benefits

Apply for this job

Click the Apply or LinkedIn button below or contact Ben Minton quoting job reference 13741089
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