Compliance Analyst

AJ FOX COMPLIANCE; Greater London; On-site; GBP 45,000 - 60,000; Full time

Job summary

A prominent professional services firm in Surrey is seeking a Compliance Analyst to shape and deliver the firm's risk and compliance strategy. The role demands at least two years of UK regulatory experience in a legal or accountancy practice, focusing on compliance culture, documenting policies, and advising staff. This opportunity allows for a significant impact on the firm's business operations and compliance function.

Qualifications

• Minimum of two years of experience in UK regulatory compliance.
• Experience in a legal or accountancy practice or a professional regulatory body.
• Proactive mindset to build technical knowledge.

Responsibilities

• Develop and implement a firmwide Compliance and Risk strategy.
• Assist in creating a strong compliance culture through training.
• Prepare regulatory submissions related to acquisitions.
• Produce reporting on compliance issues and breaches.
• Advise partners and staff on compliance matters.
• Maintain regulatory policies and risk assessments.
• Oversee client onboarding documentation for compliance.
• Manage conflict of interest processes.
• Support GDPR compliance and timely risk reporting.
• Liaise with professional bodies for regulatory compliance.
• Draft and implement additional regulatory guidelines.
• Represent Compliance in group projects for business processes.

Skills

UK regulatory experience

Risk and compliance understanding

CDD and AML knowledge

Excellent communication skills

Attention to detail

Problem-solving abilities

Job description

Overview

We are working with a well-regarded professional services firm to hire a Compliance Analyst to join their growing team in Surrey. In this role, you’ll play a key part in shaping and delivering the firm’s risk and compliance strategy across all areas of the business, ensuring that regulatory, operational and strategic risks are effectively managed and mitigated.

Requirements

Our client is seeking someone with at least two years of UK regulatory experience gained either in a practice environment (legal or accountancy) or within a regulatory team at a professional body. You’ll bring a sound understanding of risk and compliance in a professional services setting, along with knowledge of CDD and AML processes.

Responsibilities

• Supporting the development and implementation of a firmwide Compliance and Risk strategy
• Assisting with embedding a strong compliance culture through training and communication initiatives
• Preparing regulatory submissions for relevant professional bodies in relation to new acquisitions
• Producing clear and accurate reporting on compliance issues and breaches
• Advising and guiding partners, managers, and staff on compliance matters
• Maintaining and updating regulatory policies, firmwide risk assessments, and procedural documentation
• Overseeing client onboarding documentation and ensuring compliance with regulatory changes
• Managing processes for identifying and resolving conflicts of interest
• Supporting GDPR compliance and timely reporting of risks to the ICO
• Liaising with professional bodies to maintain up-to-date regulatory compliance
• Drafting and implementing new regulatory guidelines as required
• Representing Compliance in wider group projects to embed best practice into evolving business processes

Ideal candidate

The ideal candidate will demonstrate excellent communication skills, meticulous attention to detail, strong problem-solving abilities, and the confidence to engage with stakeholders at all levels. A proactive mindset and a desire to continuously build technical knowledge are a must.

How to apply

This is a fantastic opportunity to join a forward-thinking firm where you can genuinely shape the compliance function and make a tangible impact on the wider business. If you are ready for your next challenge, we’d love to hear from you. Apply now to learn more.

Not quite right for you? Check out the rest of our risk and compliance roles or give one of our friendly team a call on 0207 117 2542.

Ref: 1173

Details

• Seniority level: Associate
• Employment type: Full-time
• Job function: Legal
• Industries: Law Practice and Legal Services