Regulatory Compliance Analyst

Role Overview

The Compliance Analyst will support the day-to-day operation of the Group’s compliance framework across its regulated financial services activities.

The role will focus on compliance monitoring and testing, regulatory reporting, regulatory change, and general compliance support. The successful candidate will work closely with the Head of Compliance and wider business teams.

Key Responsibilities

Compliance Monitoring and Testing

• Assist with the execution of the Compliance Monitoring Programme.
• Perform compliance testing, sample reviews, and thematic reviews.
• Document testing completed, findings identified, and supporting evidence.
• Assist with tracking remediation actions arising from compliance reviews.
• Escalate identified issues or control weaknesses to senior Compliance staff.
• Maintain accurate monitoring records and audit trails.

Regulatory Reporting

• Assist with the preparation and submission of regulatory returns and notifications.
• Coordinate with relevant internal teams to obtain information required for regulatory reporting.
• Perform basic completeness and accuracy checks on regulatory reporting data.
• Maintain the regulatory reporting calendar and supporting records.
• Assist with regulatory information requests and ad hoc submissions.