What does Compliance Analyst / Officer do?
Compliance Analyst / Officer is a more junior Compliance role, usually reporting in to a Compliance Manager and working on ensuring a good state of compliance is maintained across the organisation, or sometimes within a specific business area of a larger company.
Compliance Analyst / Officer main duties include:
- Escalate any issues, risks or concerns in an appropriate and timely manner
- Providing guidance and assistance with Compliance queries from staff throughout the organisation
- Identifying and developing business process improvements
- Ensuring the organisation’s systems and controls are robust, support business plans and adhere to all regulatory requirements
- Assist in the completion of regulatory returns, the maintenance of compliance policies and procedures and in designing and delivering compliance training to the business
- Supporting the Compliance Manager in maintaining the second line of defence across all business activities
- Carrying out horizon scanning to identify regulatory changes and best practices
- Provide support on projects to ensure regulatory requirements are identified, understood and properly addressed
- Deliver pragmatic guidance on interpreting and applying regulations, and on designing effective controls to ensure internal policies deliver both good customer outcomes and full regulatory compliance
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