Junior Compliance Analyst (12 month FTC)

Close Brothers Group; Greater London; On-site; GBP 40,000 - 50,000; Full time

Job summary

A financial services firm in Greater London is seeking a Compliance Administrator to support compliance activities. This fixed-term role involves managing compliance inbox queries, assisting with regulatory tasks, and maintaining records. Candidates should have strong organization skills, attention to detail, and a proactive attitude. A keen interest in compliance within financial services is essential. The position offers a competitive salary and the chance to build knowledge in compliance.

Qualifications

• Ability to demonstrate an understanding of the regulatory framework relevant to the role.
• Understand and demonstrate compliance with all relevant internal and external rules.
• Interest in building knowledge of Compliance within a financial advice and asset management firm.

Responsibilities

• Assist with management of the Compliance inbox for queries.
• Assist with conflict of interest sign offs as assigned by the line manager.
• Assist with regulatory returns and applications.
• Maintain insider log records.
• Contribute to Takeover Panel reporting.

Skills

Attention to detail

Strong organization skills

Ability to work to deadlines

Good communication skills

Ability to work on own initiative

Proactive attitude

Job description

OVERALL SUMMARY

To support and assist in the administration and reporting work of the Central Compliance team. Maintaining and managing all information data and records held within Compliance to ensure information is readily accessible, searchable and up-to-date.

RESPONSIBILITIES

This is a fixed term role as part of the Central Compliance team responsible for the following activities.

• Assisting with the management of the Compliance inbox to ensure queries are directed to the relevant individuals and within agreed time frames
• Assisting with conflict of interest sign offs (e.g., Gifts and Hospitality, PA Dealing Outside Business Interests) in accordance with department operating procedures and as assigned by the line manager
• Assisting with coordination and completion of the regulatory returns and regulatory applications in accordance with department operating procedures and as assigned by the line manager
• Assisting with the regulatory change log and review of FCA (and other material) in accordance with department operating procedures and as assigned by the line manager
• Maintaining insider log records
• Contribution to Takeover Panel reporting
• Assist with business queries on compliance‑related matters
• Contribution to ad‑hoc tasks and projects as required
• Working with the wider Legal Risk and Compliance teams as required

QUALIFICATIONS / REGULATORY RESPONSIBILITIES

• Ability to demonstrate an understanding of the regulatory framework relevant to the role whilst practising effective risk management taking account of outcomes for clients.
• Understand and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual and Compliance and Risk policies.

WE WOULD LOVE TO HEAR FROM YOU IF:

• Keen attention to detail with strong organisation skills
• Ability to work quickly and accurately to tight deadlines
• Good team player with the ability to work on own initiative
• Good communication skills
• A willingness to learn new skills and tasks with a proactive attitude
• Interest in building knowledge of Compliance within a financial advice and asset management firm

EQUAL OPPORTUNITIES

As an employer TrinityBridge is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employees or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs.

RECRUITMENT POLICY

To avoid any ambiguity around fees please note that speculative CVs received by TrinityBridge that have not been authorised in advance will be ineligible for an agency fee.

COMPENSATION

Yearly salary: £40,001 – £50,000.