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A fantastic progressive opportunity available to broaden your experience within a successful organization as a Compliance Analyst.
The company has been established for over 100years and by managing very conservative low risk funds they are in a position to offer stability and longevity along with a large benefits package to the successful applicant.
Requirements;
Ensure compliance with the compliance plans
Co-ordination of the compliance plan process for internal schemes
Updating and monitoring Events and compliance obligations as required and consistent with compliance plan requirements.
Changes to documented internal scheme compliance plan measures are notified to enable appropriate revisions to the plan.
Addressing non-adherence to agreed internal scheme compliance obligations and measures.
Raise awareness of scheme breaches and complaints. Ensure they have been logged by the relevant business unit and managed to satisfactory completion.
Undertake spot checks to verify attestations provided by internal service providers across the organization and report findings to Senior Manager.
Work with internal and external audit where necessary.
Assist and provide compliance advice to business areas with the compliance plan requirements (including assistance in respect of the implementation of new and changing legislation).
Assist the Financial Services Division to identify and comply with relevant laws, regulatory, industry other compliance requirements.
Reporting of significant compliance issues to risk compliance committees
Compliance with related rules and regulations and legislation
KNOWLEDGE:
Proven capability in understanding and applying contemporary Risk Compliance Management practices, trends and tools
Minimum 5 years experience as compliance analyst, preferably gained through Financial Services
Sound knowledge of MIS regulatory environment.
Sound knowledge of financial services industry, funds management and investment operations.
Able to analyse incidents and assist the business areas to rectify matters to satisfactory completion within a timely period.
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