Compliance Analyst Compliance Analyst …

in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
Posted by:
Ami Patel • Recruitment Business Partner
Posted by:
Ami Patel
Recruitment Business Partner
To participate in the execution of the Company’s Compliance Monitoring Plan as well as assisting in the delivery of the day-to-day compliance activities of the Company with the objective of ensuring that compliance arrangements are run in an efficient, effective and consistent manner.

The compliance analysts role is to:

  • Promote the Compliance Culture within the Company.
  • Assist the Company in maintaining its compliance with regulatory obligations.
  • Provide support to the Company’s Senior Management by providing assurance on the systems and controls connected with the Company’s regulated activities.
  • Assist with Risk Event (including Breaches) reporting, and associated management of Action Plans.
  • Produce Risk Management Information.

Organisational Design

  • The role will report directly to the TA Compliance officer

Team Responsibilities

  • Providing an effective compliance service to the Company; supporting Senior Management in their regulatory duties and obligations.
  • Supporting operational teams with regulatory guidance and reporting.

Specific Role Responsibilities

  • Assisting with the completion of the Compliance Monitoring Plan.
  • Review, update and analysis of Risk Events.
  • Assist with Audit reviews and client meetings.
  • Maintain knowledge of regulatory and industry updates.

Key Role Activities

Compliance Monitoring Plan (CMP)

  • To undertake detailed Compliance Monitoring Reviews on the regulated activities of the Company and, in addition, carry out thematic reviews across the Company, identifying and recording issues arising from such work and pursuing them to resolution.
  • To complete all related monitoring activity documentation including scoping document, terms of reference, draft and final monitoring reports and test scripts, all to a high standard.
  • To carry out additional monitoring activities as required.
  • To ensure the Risk System is accurately and timeously maintained in relation. to completed Monitoring Reviews.
  • To ensure the actions agreed with management to remediate issues identified during monitoring reviews are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied.
  • To assist with external audits and recording issues arising from such visits and pursuing them to resolution.

Compliance Culture

To promote and develop the compliance culture of the Company by:

  • Providing training as required to employees.
  • Being one of the points of contact for CASS related issues.
  • Regularly communicating on compliance with the Company and in particular with the Operational teams.
  • Promoting the requirement for Company employees to follow Compliance Policies and Procedures.

Ancillary Role Responsibilities

Regulatory Compliance Policy

  • To assist in reviewing the Company’s Compliance Procedures.
  • To ensure that the Compliance team’s internal processes remain up-to-date.

Regulatory Developments

  • To assist in reviewing upcoming regulatory developments
  • To assist in communicating and embedding regulatory changes into Operational processes and providing oversight as required.   


  • To assist in Committee and Board compliance reporting as required.
  • To assist in the preparation of the Management Compliance MI pack as required.

External Audits, Internal Audits, Client Audits

  • To assist with compliance related queries.
  • To assist in meetings with both External and Internal auditors.

Performance Assessment

  • Tasks completed with precision and accuracy.
  • Adapts to situations quickly.
  • Works efficiently and introduces efficiencies to the process.
  • Introduce improvements to the process.
  • Communicates well with peers, clients and senior Management. 
  • Works together with Management team to unsure all Company targets are met. 
  • Proactively works to resolve problems.    
  • Adherence to UK regulations.

Experience Required

Experience in planning and undertaking compliance detailed reviews of financial services including thematic reviews and or undertaking quality assurance monitoring, identifying and recording issues from this work and ensuring remedial work is undertaken.

  • Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management.
  • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
  • Excellent planning and prioritisation skills are essential.
  • Effective and concise verbal and written communication skills are essential.
  • Good knowledge of the English language and grammar.
  • Good attention to detail.

About FNZ

FNZ is the market leading provider of technology and administration services to major financial institutions in the platform and wealth management sectors across the globe. We partner with life companies, banks, asset managers and discretionary wealth managers to enable them to develop and distribute financial products and services to their customers across all major distribution channels.

FNZ has a strong blue-chip customer base including Standard Life, Axa Wealth, JP Morgan, HSBC, AMP, National Australia Bank, Bank of New Zealand, Friends Life, UBS, Zurich Financial and Close Brothers Asset Management. It has helped these customers grow to over £30 billion of platform assets in aggregate. FNZ now employs over 700 people with offices in Edinburgh, London, Bristol, Brno (Czech Republic), Wellington and Sydney.


  • Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;
  • Remuneration and career advancement is based on individual contribution and business impact rather than tenure or seniority;
  • We provide significant financial rewards for high performing individuals; and
  • We provide global career opportunities for our best employees at any of our offices in the UK, Czech Republic, Australia or New Zealand.
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