Compliance Analyst

at  Delta Capita

ESSENTIAL SKILLS/EXPERIENCE

• Hands on Compliance/Regulatory experience in a regulated financial services business which should include experience in the payments/e-money sector.
• Bachelor’s Degree.
• Background in law, accounting, finance or related discipline.
• Knowledge of UK payment and e-money regulations, financial crime regulations and the Sarbanes-Oxley Act (SOX).
• Strong knowledge of UK financial services regulatory framework.
• Knowledge of UK Anti-Money Laundering requirements.
• Knowledge of Consumer Duty requirements.
• Knowledge of the FCA Fitness and Probity requirements.
• Ideally have experience of managing the conduct risk and compliance requirements of internal and external channels.

WHO WE ARE:

Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non differentiating services.

ROLE TYPE: PERMANENT / FIXED TERM CONTRACT

We are looking for an experienced Compliance Analyst to join our Client Lifecycle Management (CLM) team with experience from the payments industry to act as a critical partner to our clients business. Ensuring the business complies with laws, regulatory requirements, policies and procedures in the UK.
This is a great opportunity to join our fast-growing business within our CLM department working with some of the world’s leading financial institutions. The preferred candidate will demonstrate an entrepreneurial spirit with a ‘hands on’ pragmatic and flexible approach as we develop this fast-growing business area.
To learn more about our CLM department click here Client Lifecycle Management (deltacapita.com)

KEY RESPONSIBILITIES:

• Undertake ongoing scanning of regulatory developments to identify forthcoming changes to our clients compliance obligations, risk profile, and ensure requirements are met in a timely manner.
• Ensure work policies and procedures comply with regulatory requirements
• Monitor the adequacy and effectiveness of compliance program and tools (including, AML, Outsourcing, Complaint Management, Fitness and Probity, Consumer Duty etc.)
• Assist in the development of the annual compliance work plan and update this periodically.
• Coordinate internal compliance review and monitoring activities, including periodic reviews of departments.
• Assist in preparation of clear and concise Compliance reports for reporting to the Board and Committee’s
• Engage and communicate effectively with colleagues, customers, suppliers, regulators, and other internal and external stakeholders
• Provide guidance, advice, and/or training and educational programs, to improve business’ understanding of related laws and regulatory requirements.
• Assist in audits, reviews, and examinations.
• Assist in regulatory reporting submissions ensuring that all deadlines are met as required and liaise and follow-up with the business on the clients regulatory reporting obligations where necessary.