Senior Compliance Analyst

ACA Group; London; Hybrid; GBP 30,000 - 45,000; Full time

Job summary

A leading governance, risk, and compliance advisor in financial services seeks a candidate for a regulatory consulting role. You will support experienced colleagues in managing client accounts, conducting compliance reviews, and preparing FCA applications. Ideal for individuals with a strong academic background and regulatory knowledge, this position offers professional development opportunities and a competitive compensation package.

Benefits

Annual discretionary bonus

Private medical insurance

Subsidized corporate gym membership

Up to 26 days of annual holiday allowance

Group life insurance

Qualifications

• 12 to 18 months of relevant financial services or legal experience.
• Knowledge of the UK regulatory regime is essential.

Responsibilities

• Providing support to senior colleagues for client accounts and compliance reviews.
• Preparing FCA applications and updating client policies.

Skills

Excellent oral and written communication skills

Superb attention to detail

Strong organizational skills

Ability to work in a fast-paced environment

Proficiency with Microsoft Office

Education

Degree level, LPC or recognized professional qualification

Job description

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Hybrid: London

This is a varied and interesting role with excellent potential for development. You will work closely with, and act under the direction from, more experienced colleagues providing regulatory consulting services to FCA-regulated businesses, such as hedge funds and private equity firms.ACA is committed to supporting you in your career journey, providing you with formal training and experience working alongside industry leaders in their field.

What you'll do:

• Providing general and proactive support to more senior colleagues to manage client accounts and to ensure that a high standard of client service is delivered to clients and undertaking direction from more senior colleagues, where relevant.
• Proactively supporting senior colleagues in undertaking regular compliance reviews for clients, including scheduling said reviews, preparing document request lists, undertaking document review and drafting preliminary written reports.
• Tailoring client policies and procedures and/or updating client policies and procedures to a high standard to reflect regulatory updates and changes to clients' businesses.
• Assisting with the preparation of FCA applications, including Part 4A authorisation applications, variation of permission applications, change in control applications and senior management function (Form A) applications.
• Proactively supporting more senior colleagues to provide ad-hoc advice to clients, including undertaking research and having some interaction with clients, where required.
• Contributing to internal research, such as drafting summaries of regulatory developments and preparing internal briefing notes and making contributions to internal compliance update meetings.
• Preparing training presentations for clients and assisting with the conduct of compliance training for clients.

To qualify for the role, you must have:

• Strong academic background (i.e. degree level, LPC or recognised professional qualification).
• Minimum 12 to 18 months of relevant financial services or legal experience, including knowledge of the UK regulatory regime.

Ideally, you will have.

• You will be provided with support to study for, and complete, the Investment Management Certificate, CISI Diploma in Investment Compliance or similar.

Skills or attributes for success:

• Demonstrated professional integrity
• Excellent oral and written communication skills
• Superb attention to detail
• Ability to work in a fast -paced small team environment.
• Ability to establish and maintain effective working relationships with colleagues and clients and to provide proactive support to senior colleagues.
• Dedicated to upholding ACA's high standards and customer service focus.
• Strong organizational and problem-solving skills.
• Proficiency with Microsoft Office applications and ability to work comfortably and to thrive in a tech -enabled environment.

Preferred Licenses and Certification(s)

• Will be required to undertake either the Investment Management Certificate or the CISI Diploma in Investment Compliance.

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 days 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.