Compliance Analyst

Role details

CassonX are delighted to be recruiting for this highly recognised name in International Banking world. This business is a prominent member of the Association of Foreign Banks, whilst offering boutique working conditions supporting their Private Banking, Wholesale Banking and Treasury focusses. CassonX has had a longstanding relationship with this client, and know that even though they have had a lot of change over recent times, like many other similar small banks have had to adjust to new regulations, they have a very highly imaginative leaders in the business that provide new ways of thinking at all times.

To be considered for this role, CassonX are looking to identify someone who can start immediately or nearly immediately on a 12-month fixed term contract and offers some UK Banking experience in a Compliance Assistant role. This role sits in their Private Banking and Wholesale Banking department, and we are looking for someone who is technically proficient in handling the FCA Handbook and with FCA principles and rules. A successful candidate will be able to demonstrate some end-to-end KYC knowledge, including the review of KYC assessments that includes exposure to PEP, Sanctions, AML and adverse media checks. Experience of drafting policies and procedures, and Compliance Monitoring is also very useful.  You must be proactive enough to hit the ground running without supervision, able to follow and read procedures for when reviewing files, showcasing a background in small to medium banking institutions, and ability to converse both orally and in written format with UHNW clients and Relationship Managers with regards to detailing (with commentary) the missing elements of a remediation process. Any exposure to complex structures and dilutions are distinctly advantageous.

This very varied role will see you support compliance frameworks, AML/Sanctions/Counter Terrorism Financing, and assist with the UK Regulatory Compliance monitoring plan by executing reviews independently on various themes such as suitability and appropriateness, client categorisation and financial promotions. You will complete regulatory reports, provide MI, assist in drafting, editing, enhancing existing and new policies and procedures. You will also assist with all tasks related to Complaints Handling, Gifts & Hospitality, Breaches and Personal Account Dealing.

More details are available to those who send a relevant CV.

CassonX Limited are committed to providing fair employment opportunities to all applicants. We encourage anyone to apply, regardless of their background, and promote a fair and inclusive recruitment process based on merit. If you require any assistance throughout the interview process to improve your experience, kindly let us know.