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Compliance Analyst in Bristol at Computershare, Inc

Date Posted: 9/26/2018

Job Snapshot

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    At least 3 year(s)
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Job Description

Compliance Analyst
Competitive Salary  Progression Opportunities Training & Development Employee Share Plan Company Pension Excellent Working Culture


Description of Area of Business

Computershare has over 14,000 clients' worldwide, spanning five continents. Established over 30 years ago, we are now the world's largest share registry business and a leading provider of employee share plans.

The Compliance Analyst role is within the Computershare Compliance team, which is a second line of defense function within Computershare’s three lines of defense governance model. 

The team:

•       Establishes and maintains Compliance policies to ensure that CIS, its managers and employees are aware of and adhere to its obligations under the regulatory system.

•       Advises and assists the relevant CIS employees responsible for carrying out regulated activities to comply with CIS’s obligations under the regulatory system.

•       Regularly monitors, on a risk based basis, the adequacy and effectiveness of the measures and procedures CIS has put in place to comply with the relevant regulatory requirements.


Main Purpose of the Role

As directed, the role holder will provide day to day support to the Compliance Senior Management Team, to aid with a consistent delivery of quality Compliance analysis and reporting outputs. 

Key Accountabilities

•       Analysis of publications, speeches and other key announcements from the FCA, FOS and other organisations impacting CIS.

•       Prepare targeted communications to business areas and key stakeholders, so that recipients understand the impact and take action where appropriate.

•       Data analysis - spot trends and patterns to produce meaningful Management Information in a clear, concise format.

•       Prepare reports for the UK Audit Committee, Financial Crime Group and other governance meetings by working closely with Compliance team members.

•       Review and update CIS policies, process and guidance, which relate to Compliance matters and provide Compliance input into other relevant policies.

•       Support project work and complete ad-hoc tasks to appropriate standards and within agreed timescales, ensuring all regulatory obligations are considered.



Skills, Experience and Competencies

•       Minimum of 3 years’ experience within a financial services role, ideally with a compliance background, for an FCA authorised and regulated firm.

•       Preferably has or is working towards Financial Services Compliance qualifications e.g. ICA Certificate in Compliance.

•       A good understanding of the FCA Principles and Handbook e.g. COBS, CASS, SYSC, APER, TC and DISP.

•       Skilled in the production of reports and other documents, using Microsoft products including Excel, PowerPoint and Visio.

•       Ability to interpret data and provide insights through clear visual, written and verbal communication.

•       Good inter-personal and communication skills that facilitate open working relationships with stakeholders.

•       Positive, enthusiastic, can do attitude with a flexible approach to tasks.

•       Undertakes work with a high degree of accuracy.

•       Excellent organisational skills and ability to effectively prioritise work.


Specific Key Benefits of the Role

Computershare offers all employees 25 days holiday, excellent pension scheme, shareholder incentive plan and a flexible employee benefits scheme.

All successful candidates will be required to undergo the Computershare Pre-Employment Screening Process before commencing employment. Employment will be subject to satisfactory clearance on background checks including Identification, Passport Validation, Finance, Qualification, Employment / Personal referencing and Criminal Record Basic Disclosure checks.

Computershare Investor Services PLC is Registered in England & Wales, No 3498808, Registered Office, The Pavilions, Bridgwater Road, Bristol BS13 8AE.


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