Job Function
Legal Support
Description
We are currently supporting an established Wealth Manager looking to appoint a Compliance Analyst in a generalist role.Responsibilities:
- Provide day-to-day Compliance support to the business, ensuring adherence to FCA regulations and internal policies
- Deliver regulatory advice on both transaction-specific matters and broader Compliance queries
- Conduct Compliance monitoring reviews across key areas including best execution, suitability, market abuse, and trade reporting
- Identify and assess emerging regulatory risks, working with the business to implement appropriate controls and mitigation strategies
- Review, investigate, and resolve breaches and errors, ensuring accurate recording, escalation, and remediation where required
- Perform horizon scanning on regulatory developments and assess potential commercial and operational impacts
- Review and approve financial promotions and marketing materials in line with applicable regulations
- Maintain and update Compliance policies and procedures to ensure they remain current and effective
- Minimum 5 years generalist Compliance experience, ideally gained within a wealth or investment management environment, with exposure to retail clients
- Working knowledge of MiFID II and the FCA Handbook
- Broad generalist skill set with the ability to manage a variety of Compliance responsibilities
- Strong organisational skills with the ability to prioritise, multi-task, and deliver to deadlines in a fast-paced environment
Job ID: 83113777
