Senior Compliance Analyst (6-month FTC)

Role Summary and Department Overview:

The Senior Compliance Analyst is a generalist role with exposure to multiple areas of the Compliance. The main responsibilities include Central Compliance responsibilities such as managing Peel Hunt’s SMCR program, Training, Policy/Procedure updating and daily tasks such as PA dealing & general business queries.

The role sits within the Compliance Function, which is part of the Compliance Department. The individual will report to the Deputy Head of Compliance and will work alongside other compliance team members.

Role Responsibilities:

1. Have an understanding of the regulatory environment, values and abilities consistent with the FCA Conduct Rules.

2. Responsibility for upkeeping and maintaining the Central Compliance program at Peel Hunt:

• Managing new joiners/leavers in terms of training, certification, de-registrations form FCA register etc.

• Routine daily queries such as PA dealing requests, conflicts logging and OBIs.

• Taking the lead on larger projects such as the yearly re-certification process, senior manager attestations, SOR updates etc.

• Maintaining/reviewing and writing relevant policies and procedures

• Dealing with relevant oversees disclosures such as US and CAN

1. Assisting with queries and issues on general compliance matters by relevant departments.

2. Managing routine notifications to regulators (for instance to the Takeover Panel and London Stock Exchange).

3. Assist with audit requests from an evidence gathering and documenting perspective.

4. Attend sub-committees where a Compliance presence is needed- such as CASS/Transaction reporting or GDPR.

5. Take the lead in organising, documenting and recording various aspects of departmental activity as necessary.

Key Capabilities and Knowledge:

• The candidate must be keen to learn and adapt, and be well organised in balancing a varied workload.

• Previous experience in a central compliance role is essential.

• Relevant SMCR experience is essential.

• Strong Policy writing skills essential.

• Desirable experience of working at firms of a similar size to Peel Hunt.

• Ability to cover other areas such as monitoring and control room is desirable

• Experience with GDPR, CASS or Transaction Reporting is desirable.

• A good understanding of FCA rules and relevant regulations.

• Ability to work independently and be a team player.

• Effective communicator both orally and in writing.

• Competent Microsoft Excel and Word essential.

Role Competencies:

• Organisation

• Problem Solving

• Pro-active/Agile