Compliance Analyst – Ref 476
Rathbone Brothers Plc
Liverpool
11d ago

Salary : Competitive with an excellent benefits package

Duration : Permanent

An exciting opportunity has arisen for a Compliance Analyst to conduct detailed analysis of regulatory compliance issues and proposals.

You will advise the business on regulatory change (from conception to completion), review and advise on financial promotions for the Group and uphold technical compliance standards.

The duties of this role will include :

  • Conduct technical compliance implementation including : analysis of areas within the business, regulatory themes and regulatory change from concept to implementation within group subsidiary businesses in all locations as directed
  • Advise, review and approve financial promotions
  • Advise, review and amend the firm’s regulatory permissions
  • Provide technical support on client money and assets
  • Advise the business on wider jurisdictional regulatory responsibilities
  • Ensure work is completed to a high standard of delivery and accuracy, including the maintenance of supporting records and audit trails
  • Act as the compliance adviser on group projects and committees as and when required
  • Develop and deliver training courses to all UK or wider group employees on compliance related matters, as required
  • To develop and maintain own technical skills.Proactively develop the skills of those staff reporting to the post holder both as a group and individually
  • To maintain a flexible approach to working practices and provide such wider technical and management support as may be required by the Compliance officer and Head of compliance from time to time
  • To contribute towards the delivery of a positive compliance culture within the team and wider group
  • Visit other group offices, as required
  • To be successful in this role, you will have / be :

  • Previous compliance experience within the investment management industry
  • Good industry knowledge - UK, Europe (minimum), US and wider preferable
  • Technical knowledge and practical experience advising / reviewing all types of financial promotions
  • Proven ability to review and analyse legislative papers, determine how they are applicable to the firm, implement change, make recommendations actions and actions to resolve
  • Demonstrable ability to adjust company policies and practises for compliance with new laws
  • Knowledge of regulatory permissions and licenses
  • Ability to develop strategies to improve the firm’s ability to meet legislative requirements
  • Ability to develop strategies to improve department and wider firm procedures
  • Ability to analyse systems, practises and procedures and align / redesign to meet regulatory standards
  • Ability to act as the Compliance adviser on Committees and project work across the business
  • Excellent verbal communication skills meetings - experience in meetings with senior management
  • Competent IT skills
  • Minimum qualification standard (degree relevant discipline preferably)
  • Advanced analytical skills
  • To apply for this role, simply send your CV with a covering letter outlining how you meet the requirements of this role to Emma Halliwell at recruit rathbones.com.

    Please ensure that you quote reference 476 on all correspondence.

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