Compliance Analyst

Compliance Analyst Job Description Template

Our company is looking for a Compliance Analyst to join our team.


  • Provide assistance with internal and external reporting to regulators ;
  • Respond to regulatory and compliance questions and requests from the firm’s key stakeholders and other departments;
  • Performance of second line Compliance Monitoring activities, such as Gifts and Entertainment monitoring;
  • Assisting in the review of the compliance policies and procedures;
  • Provide support in tracking compliance monitoring and internal audit actions;
  • Implement compliance monitoring and testing plans, and ensure that appropriate review procedures are followed;
  • Providing support to the Compliance KYC process;
  • Contribute to the continuing development, preparation and maintenance of the compliance and financial crime policies and procedures;
  • Produce detailed reports with recommendations based on these findings;
  • Providing advice on AML,
  • Third party on-boarding KYC checks;
  • Monitor the impact of any new regulatory developments on the organisation, making recommendations for necessary changes;
  • Support on the delivery of the compliance plan e.g. projects such as monitoring reviews / baseline monitoring;
  • Assisting with the provision of ad-hoc advice to clients;
  • Supporting consultants in managing or participating in regulatory projects, such as annual compliance audits or mock examinations.


  • Energetic and someone who thrives in a fast paced envrionment;
  • 2-3 years experience in a Risk and Compliance or Regulatory background;
  • Degree educated or relevant qualfications;
  • Automotive, Manufacturing or Engineering background desirable;
  • Graduate (2:2 or above);
  • 2/3 years previous general Compliance experience in a Lloyd’s Managing Agent;
  • Strong communication skills both oral and written;
  • Detailed understanding of FCA rules and regulations, JMLSG and other Financial Crime industry guidance;
  • Strong academic background;
  • An understanding of finance/regulatory matters and a keen desire to pursue a career in Compliance;
  • Have the ability to analyse risks and understand complex business processes quickly;
  • Some experience and knowledge of the Asset Management/Hedge Fund industry is desirable but not essential;
  • You’re a motivated self-starter, who is inquisitive, tenacious and able to meet strict deadlines;
  • You must be pro-active, with strong presentation and inter-personal skills.