Compliance Analyst, Financial Promotion

ACA Group; City of Westminster; On-site; GBP 30,000 - 40,000; Full time

Job summary

A leading governance, risk, and compliance advisor in the UK seeks a Compliance Analyst to support its Outsourced Marketing Review team. The candidate will conduct compliance reviews, analyze financial promotions, and prepare detailed reports. Ideal candidates will have a strong academic background and some experience in financial services. This role offers a competitive compensation package, including bonuses and professional development opportunities.

Benefits

Annual discretionary bonus

Pension

Private medical insurance

Subsidized corporate gym membership

Career development opportunities

Qualifications

• Strong academic background required.
• 0-2 years relevant financial services experience preferred.
• Knowledge of UK regulatory regime is ideal.

Responsibilities

• Assist with Financial Promotions service offerings.
• Analyze clients' records for regulatory issues.
• Draft reports summarizing findings for clients.

Skills

Analytical skills

Communication skills

Organizational skills

Problem-solving skills

Teamwork

Education

Degree level or recognized professional certification

Tools

Microsoft Office

Job description

Overview

The Opportunity: 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

• To qualify for the role, you must have: Strong academic background (i.e. degree level or recognized professional certification).
• Ideally, you\'ll also have: 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.
• Skills and attributes for success: 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.

What working at ACA offers

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.

About ACA

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.

What we commit to

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.