Compliance Analyst, Financial Promotion

ACA Group; Camden Town; On-site; GBP 30,000 - 40,000; Full time

Job summary

A leading compliance consultancy in the United Kingdom is seeking a Compliance Analyst to assist with the evaluation of financial promotions and regulatory compliance. The ideal candidate will have a strong academic background, some financial services experience, and excellent analytical and communication skills. This role offers a competitive compensation package and numerous benefits including private medical insurance and generous holiday allowances.

Benefits

Annual discretionary bonus

Private medical insurance

Subsidized corporate gym membership

Up to 26 days of annual holiday allowance

Qualifications

• 0-2 years relevant financial services experience.
• Knowledge of UK regulatory regime.
• Ability to work in a fast-paced small team.

Responsibilities

• Assist with ACA service offering regarding Financial Promotions.
• Analyze clients' records for regulatory issues.
• Draft reports for clients summarizing ACA's review.

Skills

Analytical skills

Communication skills

Organizational skills

Problem-solving skills

Flexibility

Education

Degree level or recognized professional certification

Tools

Microsoft Office

Job description

Overview

The Compliance Analyst on our Outsourced Marketing Review (OMR) team is responsible for participating in and ensuring the successful execution of certain compliance reviews and consulting work conducted by ACA for clients. The individual in this position will conduct careful analyses of clients' financial promotions regulatory deficiencies, as well as draft reports, prepare documents, and summarize findings for clients. They are strongly encouraged to utilize additional training and development resources available to continue their development.

What you'll do

• Assist with ACA service offering regarding Financial Promotions.
• Analyze clients' books and records for potential regulatory issues.
• Interpret complicated and nuanced documents to identify potential regulatory risks.
• Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to resolve any issues.
• Draft reports for clients summarizing ACA's review and any findings from such reviews.
• Perform other ad-hoc work/special projects as necessary to support ACA's various client and internal initiatives including, but not limited to: Analyst training; Attend conferences and roundtable events; Assist with customized client engagements.

Qualifications

• Strong academic background (i.e. degree level or recognized professional certification)
• 0-2 years relevant financial services experience and/or knowledge of the UK regulatory regime, such as Financial Services and Markets Act 2000 (FSMA), the Markets in Financial Instruments Directive (MiFID II), the Alternative Investment Funds Managers Directive (AIFMD), the Cross Border Distribution of Funds guidance (CBDF), including other applicable FCA and ESMA rules and guidance.
• Demonstrated professional integrity
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work in a fast-paced, small team environment
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal oriented; pro-active in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
• Dedicated to upholding ACA's high-quality standards and customer service focus
• Strong organizational and problem-solving skills with attention to detail
• Strong oral and written communication skills
• Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.

Benefits

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as a day off for your work anniversary, career development, and volunteering.