Compliance Analyst
Record Currency Management
London, UK
Published 2 weeks ago
Compliance Management Systems / Technology
An exciting opportunity for an experienced Compliance Analyst to join our Compliance Team. You will support the Company and its employees to implement, monitor and maintain effective processes, procedures, systems, and controls to ensure compliance with regulatory obligations.
Record Financial Group:
Record is a leading specialist currency and asset manager with $102.2 billion (as at 31 March 2024) in Assets Under Management Equivalent. Record's services include currency management, sustainable finance, and asset management. Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.
Record's offices are in London and Windsor in the UK, Zürich, New York and Frankfurt.
Position:Compliance Analyst
Department: Compliance Team
Location:London based
Reporting Line: Head of Compliance
Key areas of responsibility and activities:
You will be responsible for implementing, maintaining and monitoring all aspects of compliance policies throughout the group. The role is independent of the business activities of the firm and involves:
Record is proud to be an Equal Opportunities Employer. For our employees to reach their full potential they need to feel valued, included and respected. This is the culture that Record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.
Disability Confident
As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background. Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.
Record Financial Group:
Record is a leading specialist currency and asset manager with $102.2 billion (as at 31 March 2024) in Assets Under Management Equivalent. Record's services include currency management, sustainable finance, and asset management. Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.
Record's offices are in London and Windsor in the UK, Zürich, New York and Frankfurt.
Position:Compliance Analyst
Department: Compliance Team
Location:London based
Reporting Line: Head of Compliance
Key areas of responsibility and activities:
You will be responsible for implementing, maintaining and monitoring all aspects of compliance policies throughout the group. The role is independent of the business activities of the firm and involves:
- Develop technical knowledge and keep technical knowledge up to date;
- Implementing policies and adhering to procedures;
- Compliance monitoring activities;
- Proactively consider compliance policies and procedures and suggest enhancements, new ways to do things (manual or using technology) and suggesting processes for evolving services;
- Periodic regulatory, client & internal report preparation, notifications and returns;
- Measures to identify and mitigate prudential, conduct and other risks to promote an environment of sound corporate governance;
- Undertaking ad-hoc investigations, thematic project work and process improvements;
- Maintaining compliance logs; and
- Monitoring contractual compliance obligations.
- Experience in a compliance-based role (preferably within the financial services industry)
- Recent experience in compliance monitoring;
- An understanding of financial services regulations in the UK and EU;
- Exposure to US regulations is desirable but not essential;
- Strong academic background. Ideally educated at degree level;
- Excellent communication skills with a high level of energy and commitment, capacity to build strong relationships, and take initiative; and
- Strong IT literacy with good knowledge of Excel and Word.
- Bonus scheme
- Pension - defined contribution scheme: 11% employer contribution plus may elect for additional personal contributions. Some cash flexibility allowed
- Private medical (BUPA) employee cover - option to purchase cover for partner and family
- Dental insurance - employee cover and option to purchase cover for partner and family
- Life insurance
- Permanent health insurance
- Medical health assessments
- Ride2Work cycle scheme
- Salary sacrifice car scheme
- Train travel season ticket loan
- Subsidised gym membership
- Share Incentive Plan (SIP) with Record matching
- 20 days minimum holiday, discretional additional holiday may be taken
Record is proud to be an Equal Opportunities Employer. For our employees to reach their full potential they need to feel valued, included and respected. This is the culture that Record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.
Disability Confident
As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background. Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.