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Compliance Analyst

London, United Kingdom
Operations
9924

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Job Description

Overview

Fisher Investments UK is looking for an experienced Compliance professional to join the Compliance and Risk team, as a Compliance Analyst. Reporting to the Compliance Manager, you will help our Compliance team keep our firm and clients on the right path, ensuring we achieve excellent customer outcomes while protecting our firm against regulatory and conduct risks.

 

The Day-to-Day:

  • Scope and conduct assigned Compliance reviews on time, observe FIUK's Compliance Monitoring Programme, and provide assurance on regulatory risk and FIUK's internal control environment.
  • Verify and provide assurance to important partners (Compliance, Risk and the Business) that FIUK's internal policies and procedures meet regulatory requirements, with any potential gaps/deficiencies escalated, in the first instance, to Compliance management.
  • Produce well written structured reports following FIUK's Compliance methodologies and guidelines, for presentation to business managers and important partners.
  • Record and track the completion of agreed management corrective action plans, arising from compliance reviews.
  • Prepare reports capturing relevant Management Information for distribution to relevant governance forums.
  • Perform 'live' observations of FIUK's client-facing staff, e.g. Private Client Directors, to test and provide assurance on our financial advice process.
  • Perform other general compliance and regulatory tasks as directed by compliance management

Your Qualifications:

  • 2-5 years of compliance monitoring experience, preferably acquired either within a financial advisory or private wealth management firm
  • Experience scoping and conducting compliance thematic and surveillance reviews
  • Understanding of the methodologies used in compliance for the review and monitoring of operations, i.e. reviewing polices; processes, and the escalation of identified control deficiencies
  • Experience with content of the FCA Handbook; SYSC, COBS DISP, MAR, FIT and TC
  • Eager to work in a collaborative environment to support high-volume output
  • Work with individuals at all levels within a business environment including management and department heads
  • Manage complexity and coordinate across several departments under strict timelines

Desirable Qualifications:

  • A qualification in compliance (ICA, CISI Dip) or Level 4 qualifications in Financial Planning.
  • Experience performing suitability file reviews, on pension and investments
  • Understanding of the Senior Management and Certification Regime, especially the application of the certification regime; the code of conduct; and how this applies to CORE firms and staff within scope.
  • Working knowledge of Institutional fund management, fund structures, segregate mandates and FCA regulatory obligations
  • Proficiency with Microsoft tools such as Excel (can perform complex functions), Word, Visio and PowerPoint

 

Why Fisher Investments Europe:

 

The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that we align with our clients' best interests by using a simple and transparent fee structure and recognised European custodians.

It's the people that make the Fisher purpose possible, and to help our employees meet their long-term goals, we offer an array of benefits, including:

  • 100% coverage of the supplemental medical and dental premiums for you and your qualified dependents*
  • 28 days annual leave, increasing to 30 after 5 years of service, with the ability to purchase up to 3 additional days
  • Annual Health Screening for you and your qualified dependents*
  • 9% company pension contribution with an additional company match up to 5%
  • Two Pension Contributions methods to choose from
  • Monthly gym subsidy and Cyclescheme programme
  • Interest-free season ticket loan available for purchase upon six months of employment**
  • Voluntary worldwide business and leisure travel insurance, including winter sports
  • Two Wellness Programmes (free, confidential and available 24/7)
  • Enhanced maternity pay subject to 12-months continuous service
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events

We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team – it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things – so if you are ready to do that, we are ready for you!

 

FISHER INVESTMENTS EUROPE IS AN EQUAL OPPORTUNITY EMPLOYER

*Employees responsible for any benefit-in-kind taxes as classed by the HMRC

*Available only to regular full-time employees with at least a 12-month contract

 

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