Compliance Analyst, Financial Promotion
- Assist with ACA service offering regarding Financial Promotions.
- Analyze clients’ books and records for potential regulatory issues.
- Interpret complicated and nuanced documents to identify potential regulatory risks.
- Assist with the planning of upcoming reviews, including participating in calls with clients, reviewing client policies and procedures, and working with supervisors to resolve any issues.
- Draft reports for clients summarizing ACA’s review and any findings from such reviews.
- Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: Analyst training; Attend conferences and roundtable events; Assist with customized client engagements.
- Strong academic background (i.e. degree level or recognized professional certification)
- 0-2 years relevant financial services experience and/or knowledge of the UK regulatory regime, such as Financial Services and Markets Act 2000 (FSMA), the Markets in Financial Instruments Directive (MiFID II), the Alternative Investment Funds Managers Directive (AIFMD), the Cross Border Distribution of Funds guidance (CBDF), including other applicable FCA and ESMA rules and guidance.
- Demonstrated professional integrity
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
- Ability to exercise discretion and make independent judgments on matters of significance
- Ability to work in a fast-paced, small team environment
- Ability to establish and maintain effective working relationships with colleagues and clients
- Highly motivated and goal oriented; pro-active in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
- Dedicated to upholding ACA’s high-quality standards and customer service focus
- Strong organizational and problem-solving skills with attention to detail
- Strong oral and written communication skills
- Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.
Recommended Jobs
Pricing - Insurtech
Our client, an insurtech which is backed by a large insurer, is looking to hire within their pricing department. All of their tech is in-house and they do end-to-end pricing. This is an excellent opp…
Journalism Researcher - Today Programme
JOB BAND: B CONTRACT TYPE: 6 Months Fixed Term Contract/Attachment DEPARTMENT: BBC News LOCATION: London Broadcasting House PROPOSED SALARY RANGE: £24,300 - £33,000 depending on relevan…
Operations Manager
About the Company: We are a UK-based fintech and financial education company developing proprietary financial optimisation software designed to help individuals and businesses make smarter financia…
FP&A Manager
We believe that difference sparks brilliance, so we welcome people and ideas from everywhere to join us in stretching what’s possible. At Tapestry, being true to yourself is core to who we are. …
Account Executive
The Role You’ll play a key role in delivering best-in-class service to our clients, supporting on strategy, community, content, campaigns, production, influencer, paid, measurement and everything …
Early Years Funding Payments & Monitoring Officer
Are you a meticulous finance and data professional with a passion for making a difference in children's lives? Connect2Hackney, the internal talent team for the London Borough of Hackney, are seeking …
Band: 6 or 7 (Adult Speech and language therapist)
Cromwell Medical Staffing is a leading healthcare agency dedicated to our candidates and clients across England. As an established name in the industry, we have a variety of shifts available across a…
Executive Assistant
Hello, we’re ScreenCloud! Founded in 2015 and with 10,000+ customers around the globe, ScreenCloud is a cloud-based SaaS company, employing over 100 people in our Bangkok, Belfast, LA, Charlotte …
Beauty Advisor
ABOUT US: Gisou is born out of a passion for bees and haircare, based on a six-generation beekeeping heritage, our products are inspired by and made with the finest, sustainably sourced ingredie…
Senior Product Analyst (d/f/m)
Tue, 08/26/2025 - 04:34 Personio's intelligent HR platform helps small and medium-sized organizations unlock the power of people by making complicated, time-consuming tasks simple and efficient. Our g…