Compliance Analyst

  • Location

    London, England

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £25000 - £28000 per annum

  • Contact:

    Scott Duerden

  • Contact email:


  • Job ref:


  • Published:

    8 months ago

As a Client Services Officer you will be responsible for:

  • Liaising with financial advisers to procure necessary information and documents to support the client's application
  • Ensuring that the initial funds received from the client are applied to the client account and that any fees are processed correctly within required timescale.
  • Monitoring of Client Money Bank accounts and reconciliation reports.
  • Capturing client details and instructions from application forms
  • Interacting with our internal customer teams to ensure the relevant people are kept in the loop with applications currently being processed
  • Obeying regulatory requirements, ensuring AML checks are completed and client money is dealt with adequately
  • Acceptance of cheques for deposit and checking accuracy of deposit slips.
  • Eliminating manual workarounds, implementing single processes as much as possible
  • Communicating with advisers/custo­mers when required by telephone, email and letter

As a Client Service Officer will need:

  • Strong attention to detail and/or data entry
  • 6 months - 1 year experience in Financial Services experience
  • Excellent problem solving and organisational skills.
  • Prior knowledge of regulatory requirements surrounding anti-money laundering (AML), Client Money Rules and Regulations (CASS), ISA rules and subscription limits/restrictions
  • Ability to work as part of a team and adapt to the needs of the team as they arise
  • A willingness to take ownership and coordinate between internal/external customers
  • Strong oral and written communication skills
  • An understanding of the financial adviser industry and Retail Distribution Review (RDR)
  • Knowledge of Microsoft Office products, in particular Excel and PowerPoint

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