We are recruiting for a Compliance Analyst role suited to a candidate with strong Conduct experience and/or Financial Crime knowledge.
Key Tasks and Responsibilities
• Contribute to the delivery of Compliance Plan activity and support the development of Compliance reports updating the business on the functions progress towards its Annual Compliance Plan.
• Promote a compliance culture by proactively identifying and addressing compliance risks, raising awareness of compliance matters and encouraging adherence to applicable laws and regulations.
• Drive improvements in areas of responsibility and propose changes to improve compliance and business efficiency.
• Assist the Senior Compliance Manager with overseeing and enhancing the Compliance Framework.
• Provide guidance on financial crime and international sanctions regulations.
• Assist the Senior Compliance Manager with overseeing the product and distribution arrangement within Arch by carrying out second line of defence product/binder reviews to assess compliance with internal controls and regulatory requirements.
• Work together with Arch HR (training and development) to develop and deliver all regulatory and compliance e-learning to ensure staff meet with regulatory training requirements. Deliver ad hoc in person training as and when required.
• Review and maintain compliance policies, procedures and guidance documents to align with regulatory changes and industry best practices.
• Review and approve financial promotions to ensure compliance with regulatory standards and marketing guidelines.
• Maintain the Compliance Intranet page, co-ordinating inputs and content from other team members.
• Coordinate the production and distribution of compliance materials and papers for relevant Committee and Board submissions