Compliance Analyst

Compliance Analyst

Pertemps Gloucester | Herefordshire, England, UK

Posted 10 days ago

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Compliance AnalystHerefordDo you have a background in finance within in a regulated environment?Do you have experience delivering regulatory advice in specialist areas such as mortgages, consumer credit and insurance?We are looking for a Compliance Analyst with experience who is looking to progress with an exciting and forward-thinking company based in Hereford.In this role you will make conscious business decisions, analyse business finances and stay compliant with the FCA guidance while managing a case load and performing financial assessments.You will be responsible for managing and nurturing your own case load of Start Up Applicants. You will have initial communication as well as ongoing engagement, supporting Applicants through the application process and providing practical guidance and support to enable them to reach a full loan assessment.Responsibilities for the Risk & Compliance Analyst:
  • Drafting policies and procedures, create proforma Loan applications and credit cheque agencies
  • Actively partner with global sector teams to support and deliver on shared projects
  • Identify the business risks ensuring all current and future regulatory requirements
  • Manage projects, often with multiple workstreams. Including project planning, budgeting, scheduling, resource management and project close-down
  • Conducting regulatory reviews
  • Conduct Financial assessments to make decisions on whether the loans should be granted
  • Responding to ad-hoc and routine regulatory queries
  • Act as the main point of contact for a portfolio of clients.
  • Responding to ad-hoc and routine regulatory queries
  • Ensuring accurate invoicing, timely payment and assisting the Finance team in resolving any queries
  • Provide high quality advice and support to clients on a range of regulatory compliance matters.
  • Responding to all queries, managing client expectations and delegating work, where necessary
What’s on offer?
  • A salary of 30k-40k
  • Support in continuing professional development and pursuing your long-term career goals
  • A dynamic, client-driven work environment to apply skills where they’ll make the most difference
  • Hybrid working
  • A purpose-built staff room and one-hour lunch breaks
  • Free on-site parkin
  • Generous leave allowance
  • Access to the firm’s private gym with showers and sauna
To be successful in this role, as the Risk and Compliance Analyst you will ideally display
  • Knowledge of the broad compliance requirements for all financial services businesses e.g. KYC, T&C, DISP, Approved Persons regime, Financial Crime, TCF etc.
  • Knowledge of lifetime mortgage financial operating processes, procedures and controls (MCOB 8 & 9) an advantage
  • Currently acting as a Risk and or Compliance analyst or similar (eg supplier oversight)
  • Understanding of Information Security risks and Data Protection regulations is highly advantageous
  • Skill to identify new risks or the inadequacy within existing controls and to seek improvement
  • Skill to challenge & influence management as to the alignment of business activities with the compliance and risk policies and procedures
  • Skill to analyse data and make recommendations based on this analysis
  • Proficient with Microsoft Office programs (Strong Excel skills an advantage)
  • Ability to use recognised risk management tools (KRI’s, CSA, Risk Registers) in a live environment
For full details please contact Ellis Mears at the Pertemps Gloucester Branch