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Compliance Analyst

  • Location: Aberdeen
  • Job type: Contract
  • Sector: Audit and Compliance
  • Date posted: 02/08/2017
  • Job reference: VR/43145
This vacancy has now expired.
Raeburn are handling a 6 month contract based with a financial client in Aberdeen city centre.

As a member of the UK Compliance team, the objective of the role is to assist with the management of regulatory risks in accordance with the Groups Risk Appetite Statement.
Specifically, the Compliance function aims to provide a high degree of assurance that the Group meet its regulatory obligations in each applicable jurisdiction.

ACCOUNTABILITIES

Advice to business
Liaison with business units to ensure that they are familiar with compliance processes and to provide high quality regulatory advice.
Participating in the tracking of the UK Compliance regime and how it affects the business.
Participation in business projects, initiatives, discussions.

Improve processes and procedures
To work in partnership with the business to improve processes and procedures in order to mitigate regulatory risk.
To promote the highest standards of ethical practices across the Group in strict compliance with the letter and spirit of regulatory standards and in accordance with the Groups commitment towards acting in the best interests of our customers at all times and putting customer interests and market integrity at the heart of the Groups business.

Regulatory Developments
To participate in the UK Compliance Team's assessment of changes to the regulatory regime, ensuring that the impact of the change is understood by the business and that a plan is formulated in respect of any necessary changes to processes, procedures and controls

Compliance Policies
Assist with the review of existing Compliance policies and the formulation of new policies, ensuring appropriate engagement with the business.

External
As required, representing the business at various technical forums, reporting back and disseminating information where appropriate.

Monitoring and Surveillance
Supporting those with the day to day responsibility for the monitoring and surveillance activities, ensuring that issues identified are brought to the attention of the relevant team in order that the issue(s) identified can be considered for inclusion in the monitoring/surveillance programmes.

Role Specific: Major Shareholdings
To ensure compliance with the major shareholding requirements in EMEA regions including calculating and tracking positions, regularly reviewing and updating threshold limits from legal/regulatory sources, proactively escalating impending threshold limits and seeking and interpreting legal advice where necessary.
To understand and ensure common standards in the major shareholding process globally.

REQUIRED SKILL SET

EXPERIENCE AND QUALIFICATIONS:
Degree level preferred but not essential
Experience within a Compliance environment would be an advantage
Experience with the asset management industry would be an advantage

SKILLS/KNOWLEDGE:
Detailed, methodical and accurate
Strong processing skills, as well as an analytical and systematic approach to work
Confident IT skills
Showing initiative and quick to learn
Effective communicator and ability to speak to employees at all levels within the organisation