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Compliance Analyst - City, Newcastle Upon Tyne, United Kingdom, NE1

£32k

Based in the Newcastle office, the Compliance Associate will assist the Compliance Team in delivering a range of compliance solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within a team and be pro-active.

The role will involve:

  • Support the Compliance Associates and Compliance Managers to ensure that the firm and its clients are in compliance with FCA regulatory and compliance rules
  • Support and manage the on-boarding process (KYC/AML checks/credit checks, etc) of new FCA regulated corporate teams and individuals within the financial services industry
  • Support the compliance team on a variety of client facing compliance projects
  • Conduct research and prepare documentation in response to client inquiries
  • Undertake file checking and file reviews
  • Participate in internal compliance training programs as part of continuing learning and development program
  • Desire to expand formal and informal knowledge about FCA regulation

Key Requirements:

  • Prior experience within an FCA regulated services firm, within a Compliance function
  • Some understanding of Financial Conduct Authority's regulatory frameworks
  • A-level and Bachelors degree preferred