Compliance Analyst

Contract: Full Time Permanent
Location: Bristol Redditch
Hours: Full time
Salary: Competitive

Role Purpose

The roles primary purpose is the (i) appropriate recording of Compliance records (ii) the provision of compliance advice to the business and (ii) ensuring adherence to legal and compliance regulations.

 

Key Accountabilities

  • Organise and maintain Compliance & Legal records, and related documentation on Compliance systems (e.g. incidents & complaints logs, financial promotions etc.)
  • Review and approve areas such as:
    • Gifts & Entertainment submissions, assessing bribery risk
    • Financial Promotions and marketing materials.
  • Research relevant regulatory updates and/ or news for internal communications
  • Identify and escalate compliance weaknesses to line management
  • Taking ownership of daily tasks and processes; ensuring that tasks are delivered within agreed time frames.
  • To review and comment on legal contracts to identify areas of concern
  • Work closely with Compliance team, to support the wider Compliance objectives.
  • Support other Risk & Compliance and Legal projects, as required.

 

Technical Knowledge and Professional Qualifications

Key Skills

 

  • Knowledge of the financial services regulatory environment is preferable, but more important is a keen desire to learn/understand
  • Excellent written and oral communication skills.
  • Team player with good interpersonal and influencing skills.
  • Ability to work under pressure to tight timelines and without direct supervision.
  • Can do attitude and embraces change
  • Willingness to develop and desire to undertake appropriate qualifications
  • Good IT skills, including Microsoft Word, Excel, Outlook, PowerPoint
    • Ability to prioritise workloads and work independently
    • Ability to work under pressure
    • Degree or equivalent, preferably law degree

 

 

Overarching Obligations

  • Adhere to all relevant laws & regulations, and Broadstone Policies & Procedures
  • Achieve a good standard of ethical behaviour, i.do the right thing at all times
  • Comply with all relevant professional standards
  • Comply with the FCA ‘s requirements in relation to Conduct Rules & Treating Customers Fairly

 

 

 

 

 

 

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