Business Quality Analyst - Compliance - Financial Services
Hurst Point Group
London, UK
Published 1 week ago
Compliance Management Systems / Technology
Looking for a compliance analysis role where you can genuinely make an impact?
Are you able to help us maintain and grow our excellent reputation for customer care and professionalism?
Join us, and put your technical and product knowledge, compliance experience, and methodical methods to use as part of our award-winning business.
Please note - we require someone who has experience within Financial Services Industry - thank you.
Where do you fit in?
You'll be at the heart of our compliance program, helping to ensure we meet regulatory requirements relating to investment advice, portfolio management, and record keeping and helping to maintain our high standards of compliance. Using your excellent compliance analysis skills, you'll clearly convey complex regulatory information, championing a positive, efficient compliance program which always prioritises great outcomes for our clients.
You'll help us to deliver outstanding investment services while ensuring we meet the highest regulatory standards.
Day to day you'll be involved with:
Following successful completion of your training period, hybrid working is available.
Travel will occasionally be required to other group locations according to the needs of the business
To discover more about a career with us and to view the full job description, please visit - www.hawksmoorim.co.uk/about-us/join-our-team/
We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees.
No Agencies Please
Are you able to help us maintain and grow our excellent reputation for customer care and professionalism?
Join us, and put your technical and product knowledge, compliance experience, and methodical methods to use as part of our award-winning business.
Please note - we require someone who has experience within Financial Services Industry - thank you.
Where do you fit in?
You'll be at the heart of our compliance program, helping to ensure we meet regulatory requirements relating to investment advice, portfolio management, and record keeping and helping to maintain our high standards of compliance. Using your excellent compliance analysis skills, you'll clearly convey complex regulatory information, championing a positive, efficient compliance program which always prioritises great outcomes for our clients.
You'll help us to deliver outstanding investment services while ensuring we meet the highest regulatory standards.
Day to day you'll be involved with:
- Our investment management file monitoring programme, which includes both pre-approval and post-implementation checks.
- Reviewing investment proposals, client risk profiles, and all necessary documentation to ensure completeness, suitability, and compliance.
- Assessing whether investment decisions are well-documented, compliant, and in line with our processes.
- Communicating review outcomes clearly and ensuring all records are accurately maintained within company systems.
- Providing support to investment managers, offering guidance on file review processes and record-keeping standards.
- Assisting in identifying trends or gaps in knowledge and help shape continuous improvements in the business.
- Monitoring investment portfolios to ensure they align with client objectives and risk profiles.
- Staying up-to-date with Consumer Duty requirements and ensuring all tasks are completed with a clear focus on positive client outcomes.
- A competitive salary + benefits including private medical insurance, paid birthday leave, and opportunities to volunteer for charity
- A busy, varied role with lots to do. A friendly, growing team in an expanding business
- Professional growth within a positive, customer focused environment. You'll be part of a team that prioritises excellent client outcomes
- Extensive experience in financial services, particularly in product governance or compliance roles
- In-depth knowledge of UK financial regulations, with a focus on Consumer Duty, along with a strong understanding of investment products, portfolio construction, and risk management
- A degree in Finance, Business, or a related field along with a professional qualification, such as CFA, CISI, or equivalent would be great, but not essential.
Following successful completion of your training period, hybrid working is available.
Travel will occasionally be required to other group locations according to the needs of the business
To discover more about a career with us and to view the full job description, please visit - www.hawksmoorim.co.uk/about-us/join-our-team/
We are committed to equality of opportunity for all, we care passionately about our staff and are committed to promoting and protecting the physical and mental health of all our employees.
No Agencies Please