Compliance analyst
My client is a large worldwide banking institution looking for a team member to join the UK Registrations Licensing ("RL") team responsible for processing individual registrations with the FCA and/or exchange registrations, ensuring that applications and withdrawals are processed effectively. The Candidate should maintain an efficient BAU process minimising the delay between new starters joining and FCA approval being obtained and timely withdrawals. They should also build relationships with key stakeholders including LOB Compliance and Business Supervision to ensure they are provided with accurate MIS.
• Administration of Approved Persons Regime
• Provision of advice and guidance on RL activities
• Arranging regulatory training and exams
• Manage Registrations process for 23 exchanges
• Identification of risk and escalation of non-standard matters
• Ad hoc RL projects and reviews
Essential/Required Skills:
• Strong administrative and organisational skills
• Ability to manage and prioritise in a high volume environment
• Attention to detail, low tolerance for error
• Excellent written and verbal communication skills
• Strong team player
• Ability to deal confidently with associates at all levels
• Ability to deal with confidential and highly sensitive information
Desired Skills:
• Knowledge of FCA Approved Persons Regime
• Compliance experience/background
If you have the right skill set and are interested in this role please contact Adam Jones on the details provided.
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