FNZ

Compliance Analyst

CZ-Brno
ID
2017-2571
# of Openings
1
Department
Risk and Compliance (RCP)
Position Type
Permanent Full-Time

Role Description

To participate in the execution of the Company’s Compliance Monitoring Plan as well as assisting in the delivery of the day-to-day compliance activities of the Company with the objective of ensuring that compliance arrangements are run in an efficient, effective and consistent manner.

 

The Compliance Analyst’s role is to:

  • Promote the Compliance culture within the Company.
  • Assist the Company in maintaining its compliance with regulatory obligations.
  • Provide support to the Company’s Senior Management by providing assurance on the systems and controls connected with the Company’s regulated activities.

Key Responsibilities:

 

Compliance Monitoring Plan (CMP)

  • To plan and undertake detailed Compliance audits on the regulated activities of the Company and, in addition, carry out thematic audits across the Company, identifying and recording issues arising from such work and pursuing them to resolution.
  • To complete all related audit activity documentation including scoping document, terms of reference, draft and final audit reports and test scripts, all to a high standard.
  • To carry out additional audit activities as required.
  • To carry out clear desk checks.
  • To ensure the Risk System is accurately and timeously maintained in relation to completed audits.
  • To ensure the actions agreed with management to remediate issues identified during Compliance audits are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied.

 

Compliance Culture

  • To promote and develop the compliance culture of the Company by:
    • Providing training as required to employees.
    • Being one of the points of contact for compliance related queries.
    • Regularly communicating on compliance with the Company and in particular with the Asset Services teams.
    • Promoting the requirement for Company employees to follow Compliance Policies and Procedures.

Regulatory Compliance Policy

  • To assist in reviewing the Company’s compliance policies and procedures.
  • To ensure that the Compliance team’s internal processes remain up-to-date.

Regulatory Records 

  • As necessary, to act as an approver in relation to the Gifts and Hospitality Register and update the Gifts and Hospitality Register.
  • As necessary, to act as an approver of Personal Dealing Requests and update the Personal Dealing Register.
  • To review and chase outstanding documentation in relation to the above as required.

Regulatory Developments 

  • If required to assist in reviewing upcoming regulatory developments.
  • To assist in communicating and embedding regulatory changes into operational processes and providing oversight as required.

Governance 

  • To assist in Committee and Board compliance reporting as required.
  • To assist in the preparation of the Management Risk & Compliance MI pack as required.

External Audits, Internal Audits, Client Audits 

  • To assist with compliance related queries.

Experience Required

  • Experience in planning and undertaking detailed compliance audits on the regulated activities of financial services firms including thematic reviews, identifying and recording issues from this work and ensuring remedial work is undertaken.
  • Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management.
  • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard.
  • Excellent planning and prioritisation skills are essential.
  • Effective and concise verbal and written communication skills are essential.
  • Good knowledge of the English language and grammar.
  • Good attention to detail.

About FNZ

FNZ is a global financial technology and asset servicing provider which powers the wealth management, administration and custodian platforms for some of the world's leading financial institutions. These customers include life insurers, retail and private banks, asset and wealth managers and financial adviser groups based across the UK, Europe, Asia, Australia and New Zealand.

 

We believe that enhancing client engagement, lowering costs, delivering a seamless service and enabling personal solutions are key to helping people achieve their financial goals. We partner with major financial institutions to enable them to provide wealth management services to their clients across direct, intermediated and workplace channels that reflect these principles.

 

We develop long-term partnerships with our customers to enable them to get to market quickly with a market-leading digital proposition, transform their customer service offering and grow assets under management across multiple distribution channels.

 

Our customers include AMP, ANZ, Aviva, AXA Wealth, Bank of New Zealand, Fideuram Vita, HSBC, Mercer, National Australia Bank, HSBC, Santander, Santander Asset Management, Standard Life, UBS and Zurich.  In all we partner with 42 institutional customers worldwide. 

 

FNZ employs over 1,000 people with offices in Edinburgh, London, Bristol, Brno (Czech Republic), Shanghai, Hong Kong, Singapore, Sydney, Melbourne and Wellington.

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