Are you an experienced compliance professional looking for a varied role where you can make a real contribution? Perhaps you're currently commuting into London or further afield and would welcome the opportunity to work closer to home?
Our client is an established and growing financial services business operating within the foreign exchange sector. They are seeking a capable and detail-focused Compliance & Operations Analyst to support their day-to-day compliance activities, help manage financial crime risks and ensure the business continues to meet its regulatory obligations.
Working closely with the Risk & Compliance Director, you'll enjoy a hands-on role with plenty of variety, combining client due diligence and transaction monitoring with broader regulatory and risk management responsibilities.
The Role
You'll be responsible for supporting the company's compliance and anti-money laundering (AML) operations, including:
- Managing client onboarding and Know Your Customer (KYC) processes for individual and corporate clients.
- Conducting customer due diligence (CDD), enhanced due diligence and ongoing client reviews.
- Reviewing transactions, investigating unusual activity and escalating potential risks where appropriate.
- Undertaking sanctions screening and supporting fraud prevention measures.
- Supporting the management of client money safeguarding processes and controls.
- Assisting with regulatory reporting, Consumer Duty requirements and complaints handling.
- Maintaining accurate compliance records, documenting decisions and supporting improvements to internal processes.
- Working closely with colleagues across the business to ensure compliance requirements are understood and followed.
What's on Offer?
- Salary of around £35,000
- Full-time, 37.5 hours per week, office-based in Tring with some flexibility in line with business needs
- A varied, hands-on compliance role with genuine responsibility
- The opportunity to work closely with an experienced Risk & Compliance Director
- Exposure to a broad range of regulatory, financial crime and risk management activities
- The opportunity to broaden your compliance expertise within a growing regulated business
About You
We're looking for someone with practical compliance experience who combines excellent attention to detail with sound judgement and a confident, professional approach.
Ideally, you'll bring:
- Hands-on experience of KYC, customer due diligence and enhanced due diligence, including source of funds and source of wealth checks.
- Experience of transaction monitoring, investigating suspicious activity and escalating concerns.
- A good understanding of AML requirements and financial crime prevention.
- Strong written communication skills, with the ability to document findings and decisions clearly.
- Excellent organisational skills and the ability to manage competing priorities.
- A questioning mindset, good commercial awareness and the confidence to challenge decisions when necessary.
- Strong IT skills, including Excel.
Experience within financial services, payments, foreign exchange or another regulated environment would be particularly useful. Knowledge of FCA requirements, safeguarding or Consumer Duty would also be advantageous.
A relevant compliance qualification, such as ICA or ACAMS, would be welcomed, although equivalent practical experience will also be considered.
If you're an experienced compliance professional looking for an interesting local opportunity, we'd love to hear from you. Apply today to find out more!
Please review the job details above thoroughly and ensure you're happy with salary, location before applying
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