|
COMPLIANCE ANALYST JOB DESCRIPTION |
|
Overall purpose of the job Compliance Analyst in Regulatory Compliance to be responsible for conducting compliance monitoring activities. Reporting to the Compliance Director, the key focus of this role will be on ensuring that Quai is compliant with all its regulatory responsibilities.
|
|
Key responsibilities and accountabilities · Plan and execute compliance monitoring on internal first line controls, as part of the Business’ second line of defence. · Provide timely governance reporting into committees/Board using the format and on the frequency specified. · Participate in audit reviews performed by third parties (e.g. Clients and CASS Auditors) and other external meetings where required. · Assist with regulatory reporting as required. · Review product literature (e.g. Key Features Documents, T&C’s) to ensure material is compliant. · Maintain knowledge of our existing and potential relationships. · Maintain knowledge of regulatory change through the review of bulletins, completion of CISI professional refreshers and attendance at meetings, workshops and conferences. · Ensure that compliance policies and procedures are kept updated following regulatory change or any process amendments. · Interpret rules, regulations and guidance in order to provide advice and guidance to colleagues (including senior management) and third parties. · Attend project (internal and external) and committee meetings as required and provide advice, guidance and challenge where appropriate.
|
|
Other features of the job 35 hours per week based on a flexible Monday to Friday.
|
|
Location Quai Administration Services Limited, 16 Tesla Court, Innovation Way, Peterborough, PE2 6FL
|
|
Knowledge and Computer Skills: · The applicant should have proven financial services experience from working in a retail environment and have a good understanding of: · FCA regulatory requirements (SYSC, COBS, CASS); · JMLSG requirements; · HMRC requirements covering pensions and ISA; and · Data Protection legislation. · Able to interpret and explain complicated regulations in plain language. · Keen to learn, understand processes and not afraid to challenge. · Excellent communication skills (verbal, written and presentational) · Capacity to work within a challenging environment · Ability to liaise with employees at all levels · A positive attitude and a flexible and adaptable approach to work · Able to pick tasks up quickly and follow instruction.
|
|
Education, qualification and special training · The applicant should have 3-5 years experience of conducting compliance monitoring activities. · An industry qualification (e.g. Investment Operations Certificate) is preferable.
|
|
Literacy and Numeracy · Excellent written and oral communication skills required.
|
|
Personality · Customer focused · Strong influencing / negotiating skills · Accomplished verbal communicator · Strong team player & builder, capable of entrusting others' own passion for the brand, products & for delivering excellence · Highly professional and able to work analytically · Energy, assertiveness, resilience and positive approach
|
PAGE
Quai Administration Services Limited is a company registered in England and Wales at 16 Tesla Court, Innovation Way, Peterborough PE2 6FL (Number: 7584959). Quai Investment Services Limited, a wholly owned subsidiary of Quai Administration Services Limited, is registered in England and Wales (Number: 9919243 ), and authorised and regulated by the Financial Conduct Authority (Firm Reference Number: 922590). Quai Trustees Limited, a wholly owned subsidiary of Quai Administration Services Limited is registered in England and Wales (Number: 11821001)