Graduate Compliance Analyst

Optima Partners; City Of London; Hybrid; GBP 30,000; Full time

Job summary

A global financial services firm is seeking a full-time Analyst in London with responsibilities including client registration, compliance monitoring, and developing policies. Candidates should have a university degree, excellent communication skills, and be self-starters. The role offers a competitive starting salary of £30,000 annually along with support for a CISI diploma. This position allows for collaborative learning in a dynamic environment, ensuring career growth within the compliance sector.

Qualifications

• University degree is required.
• Expected to complete a CISI diploma funded by the company.
• Excellent written and verbal communication skills are essential.
• Independent, self-starter with collaborative problem-solving skills needed.
• Strong analytical and research skills are a must.

Responsibilities

• Register clients with the FCA in the UK.
• Develop and implement compliance policies and procedures.
• Prepare and maintain employee certifications according to FCA regulations.
• Monitor employee trading activities and communications for compliance.
• Perform compliance monitoring testing across FCA regulatory requirements.
• Assist in annual compliance and mock regulatory reviews.

Skills

Excellent written and verbal communication skills

Analytical skills

Research skills

Multi-tasking ability

Collaborative problem-solving

Education

University degree

Job description

Overview

Optima Partners is a unique global firm which understands that its people are its greatest asset. We are therefore 100% committed to attracting and keeping the highest quality people. As a market leading and growing firm with a very flat structure, we offer our people the chance to move forward quickly in their career within a meritocratic culture.

Core Values

The core values that our team share are being proactive, solutions focused, interactive and dynamic in the ever evolving industry that we work in. We seek to encourage new ideas and proactive thinking across all members of the team and constantly invest in new people that share our values.

Team Collaboration

Optima Partners presents its people with a unique opportunity to work collectively and collaboratively within our global team as well as a platform to reap the rewards of strong performance. Optima's experienced global team will accelerate the Analyst's learning and growth by providing frequent training on various topics, shaping the Analyst's career path to becoming an expert compliance professional in the financial services industry.

Job Details

This is a full-time opportunity with 3 days in-office weekly. The total starting compensation is 30,000 GBP annually.

Responsibilities

• Registering clients as regulated entities with the Financial Conduct Authority ("FCA") in the UK
• Developing and implementing compliance policies and procedures
• Preparing and maintaining employee certifications on behalf of clients in accordance with the FCA's Senior Management Certification Regimes ("SMCR")
• Monitoring employee personal trading activities and electronic communications on behalf of clients
• Monitoring expert network calls on behalf of clients
• Performing periodic compliance monitoring testing across specific FCA regulatory conduct of business requirements and regulatory themes, such as personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interest, as part of client’s compliance monitoring program
• Assisting in annual compliance reviews and mock regulatory thematic reviews and investigations
• Assisting in providing regulatory review support

Qualifications

• University degree
• Expected to complete a CISI diploma fully funded by Optima (except for resits)
• Excellent written and verbal communication skills
• Independent, self-starter, as well as collaborative problem solver
• Strong analytical and research skills
• Ability to multi-task and prioritise across a range of projects with constantly shifting priorities in a team environment
• Ability to master new tasks quickly