Senior Analyst - Compliance Advisory

at  Close Brothers Group

In this newly created role, the incoming hire will work as a key member of the Compliance Advisory team, supporting the business with regulatory advice in relation to financial markets trading, corporate, custody and wealth services.

REQUIRED SKILLS AND EXPERIENCE

• 3+ years’ relevant experience in a financial Compliance related role
• Outstanding relationship management and communication skills
• Strong problem solving and organisational skills
• Good understanding of organizational and governance processes
• Strong Microsoft office skills

KEY RESPONSIBILITIES

• Support the Advisory Manager in providing the business with advice in line with FCA and other regulatory requirements.
• Assist in the creation and delivery of compliance training, policies and internal procedures;
• Perform investigations into the activities within the business to ensure compliance with internal policies;
• Assist in the analysis of new regulation and delivery of ad-hoc Regulatory Projects
• Assist in the analysis of new business initiatives, applicable regulatory obligations and associated risk impact.
• Oversee day to day compliance matters which may include responsibility related to control room, operational and other core compliance queries and tasks;
• Utilise and build knowledge and experience of Capital Markets
• To represent the Company and communicate effectively with Group stakeholders, clients, employees, regulators, legal authorities, professional associations and other relevant stakeholders
• To maintain and enforce a strong compliance culture and champion the Company’s integrity, accountability, responsibility, ethics, behaviors & values