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About the Role
The Senior Compliance Analyst is a generalist role with exposure to multiple areas of Compliance, focusing on managing Peel Hunt’s SMCR program, training, policy updates, and daily tasks like PA dealing and business queries. This role is part of the Compliance Function within the Compliance Department, reporting to the Deputy Head of Compliance.
Responsibilities
- Maintain an understanding of the regulatory environment and FCA Conduct Rules.
- Uphold and maintain the Central Compliance program at Peel Hunt.
- Manage new joiners/leavers, including training, certification, and FCA de-registrations.
- Handle routine daily queries such as PA dealing requests, conflicts logging, and OBIs.
- Lead larger projects like yearly re-certification, senior manager attestations, and SOR updates.
- Maintain, review, and write relevant policies and procedures.
- Manage relevant overseas disclosures (e.g., US and CAN).
- Assist departments with general compliance queries and issues.
- Handle routine notifications to regulators (e.g., Takeover Panel, London Stock Exchange).
- Support audit requests by gathering and documenting evidence.
- Attend sub-committees (e.g., CASS/Transaction reporting, GDPR) requiring Compliance presence.
- Organize, document, and record departmental activities as needed.
Requirements
- Previous experience in a central compliance role is essential.
- Relevant SMCR experience is essential.
- Strong policy writing skills are essential.
- Competent in Microsoft Excel and Word is essential.
- Desirable experience working at firms of a similar size to Peel Hunt.
- Desirable ability to cover other areas such as monitoring and control room.
- Desirable experience with GDPR, CASS, or Transaction Reporting.
- A good understanding of FCA rules and relevant regulations.
- Ability to work independently and be a team player.
- Effective communicator, both orally and in writing.
- Keen to learn and adapt.
- Well-organized in balancing a varied workload.
Skills
- SMCR
- Policy writing
- Microsoft Excel
- Microsoft Word
- GDPR
- CASS
- Transaction Reporting
- FCA rules
- Regulatory understanding
- Communication (oral and written)
- Organization
- Problem Solving
- Pro-active/Agile
Experience Level
- Senior
About the Company
- Peel Hunt is a firm of similar size to the one described.