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Compliance Technology Analyst

Date: 23 Feb 2021
Type: Permanent
Location: London
Salary: £ per annum
Email: duncan@taylorjamesresourcing.com
Ref: db399876

We are looking for a Technology minded Compliance analyst to work within a Regulation Technology team of a global compliance company.

Ideally you will have approximately 1 to 2 years post graduation experience, ideally within a client facing role with a technical focus with a RegTech, FinTech, IT client facing role within Compliance

  • A degree, 2:1 or better
  • A confident presentation style and the ability to speak/present to large groups of internal and external clients.
  • An understanding and desire to work with IT platforms within the RegTech space.
  • A passion for technology, building out platforms, understanding their capabilities, demonstrating the benefits to internal and external stakeholders
  • A forward-thinking outlook with the ability to work on their own initiative
  • Ability to absorb and disseminate information in a new growth area
  • The responsibility of supporting the Technology Partnerships Director and the credibility to manage client requests in their absence

Key accountabilities

Gain a high-level understanding of the regulatory environment
Build an understanding of the three/four main platforms that are part of our RegTech partnership programme. These include:
o AI-based automated regulatory horizon scanning platform
o CASS workflow solution
o Employee Conflicts of Interest Platform
o Market Abuse Surveillance System

• Present and demonstrate technology confidently
• Be the first line support for all platforms
• Set up and use the platforms and support the internal stakeholder engagement of the platforms
• Understand all platforms and become the company’s RegTech platform specialist

• Advise and support clients on a wide range of regulatory compliance matters. This may include:
• Drafting and maintaining policies, procedures and compliance monitoring programmes
• Developing training materials and assisting in delivering training sessions
• Assisting with regulatory matters including authorisation applications and variations of permission
• Carrying out compliance health checks and periodic monitoring

• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
• At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client
• Arrange and help prepare for client meetings
• Ensure that all client files are in good order and details of relevant contacts are updated in the CRM system Business development

Regulatory knowledge
• Keep abreast of regulatory developments and understand how client activities may be impacted
• Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news
• Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice
• Conduct research and assist colleagues with preparing templates and other technical material on topics of interest

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