Compliance Advisory Analyst

  • Location:

    City of London, London

  • Sector:


  • Job type:


  • Salary:

    £40000 - £48000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


  • Start date:


A wealth and Asset Management firm are looking for someone to join their compliance advisory team. This is tasked with dealing with a variety of different queries from the business. Around transactions, COB rules, G&E, Financial promotions, Financial crime, PA dealings ect

Role purpose

  • Perform an advisory role supporting the business in discharging its regulatory obligations
  • Act as a point of contact for regulatory enquiries from multiple business areas and providing time-sensitive advice and guidance
  • Assist with the monitoring of the Compliance email inbox and provide compliance advice and guidance to the business, where necessary


  • Keep abreast of current and upcoming regulatory developments and assisting in incorporating them into processes and procedures
  • Respond to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred
  • Review and approve financial promotions
  • Review and approve requests for personal account dealing
  • Carry out identity verification checks on clients of different types for AML purposes
  • Escalate any significant issues, weaknesses or outstanding action items to the Compliance Manager
  • Prepare compliance reports and MI for other members of the Compliance Team and senior management
  • Assist other members of the Compliance Team and undertake ad-hoc compliance related projects, as required

What experience are they looking for?

  • Familiarity with the key FCA Sourcebooks (COB's particularly 2 and 6)
  • Knowledge of the JMLSG Guidance Notes
  • Knowledge of at least two of Financial Promotions, G&E, PA dealings, transaction approvals.

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