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Compliance Analyst

  • Location: LONDON
  • Salary: £30,000 - £45,000
  • Job type:
  • Job reference: NE167752
  • Sector: Banking , Asset Management/Funds
Job Description

Compliance Analyst

Wealth Manager/Investment Bank


£35,000 - £45,000 base

This role is a great opportunity for someone with 1-2 years experience in compliance from a bank or wealth manager.

The role has two distinct parts:

1. UK

  • Member of the Central Compliance team based in London.
  • Contributing to the execution of monitoring, reviews and surveillance programme of the Group’s UK businesses. This entails regular monitoring of compliance with key policies, procedures, system-based controls, etc. Specifically:
  • Conducting regular testing across the individual Group businesses as per methodology designed by the Compliance Monitoring Manager, including summarising and communicating results clearly in person and in writing


  • Develop an understanding of various business divisions and applicable policies and procedures
  • Assist the Compliance Monitoring Manager in developing an annual monitoring and reviews plan
  • Participate in the integration of new systems and technology to modernise compliance processes.

2. Group

Oversee the Group Policy making process, including but not limited to:

  • Drafting of policies
  • Gaining requisite approvals of policies
  • Verification of implementation and other assurance
  • Facilitate compliance management information reporting from across the Group on a monthly basis, including review of the data and drafting Group governance reports
  • Participate in change programmes to enhance and further develop existing processes with respect to management information.
  • Experience, Skills and Competencies Required


  • Experience gained in a financial services institution (ideally in Compliance, Risk, Legal or business function)
  • Relevant Bachelor’s Degree (top tier university desirable)
  • Qualifications relevant to the role, including compliance, audit, etc.


  • Excellent MS Office skills, particularly Excel and Word, databases, etc.
  • Understanding of the regulatory environment
Strong written and oral communication skills
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