Compliance Analyst Compliance Analyst …

Record Currency Management
in Windsor, England, United Kingdom
Permanent, Full time
Last application, 23 Feb 20
Record Currency Management
in Windsor, England, United Kingdom
Permanent, Full time
Last application, 23 Feb 20
We are currently recruiting for a Compliance Analyst to join our small, highly qualified Compliance & Risk team. The role will be to support the firm and its employees to implement, monitor and maintain effective processes, procedures, systems and controls to ensure compliance with regulatory obligations.

The Company:

Established in 1983, Record Currency Management is one of Europe’s leading independent currency specialists, managing approximately £48.8bn (as at 31 December 2019). We employ 84 people, predominantly based in Windsor, although we also have offices in New York and Zürich.

We offer an excellent remuneration package including a competitive base salary, bonus, pension, private medical insurance, 25 days annual holiday, subsidised gym membership and a number of other salary sacrifice benefit options. In addition to this, some further examples of our working culture are our weekly fitness classes, free fruit and snacks, monthly massages, company-wide lunches and celebrations, and after work events such as drinks or games tournaments.

Key Responsibilities:

• Responsible for undertaking the compliance monitoring plan, adhering to and possibly designing monitoring procedures, and suggesting enhancements or developments where appropriate; 
• Responsible for ‘know your customer’ and customer classification being undertaken prior to trading a new account and raising any concerns or issues to CCO;
• Accurately draft periodic regulatory/client notifications and returns in advance of imposed deadlines;
• Accurately preparing all Senior Manager or Registered Person Applications (FCA & CFTC);
• Support the CCO in helping develop effective systems and controls throughout the business via risk management, data gathering, analysis and reporting;
• Proactively develop and maintain understanding of relevant rules as applicable to monitoring tasks;
• Supports CCO in developing, documenting and maintaining proportionate and effective compliance procedures and policies, in line with the regulatory requirements of the UK, US and other applicable overseas jurisdictions;
• Accurately drafting compliance section of RFP’s/DDQ’s & client returns; • Ensure all compliance-related obligations (including IMA, Internal Control, Internal Audit and client audit requests) are met by overseeing input from various sources to ensure deadlines are met; and
• Develop internal relations and external relationships with compliance and risk management consultants, lawyers, clients as well as relevant regulatory and industry bodies.


• 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.

Longer-term career prospects:

The role would suit an ambitious individual who seeks a thriving long term career in compliance and risk in investment management.

At Record, we have a company-wide approach of developing our colleagues, as such, you can expect to benefit from our years of experience in training and support.