About the Job We have an exciting opportunity for a Compliance Analyst to join our UK Compliance team.
Reporting into a Compliance Manager, your position will involve supporting the Compliance function in ensuring that the firm meets its regulatory objectives.
Please note that this is an onsite role that will require you to work within our Mayfair office 5 days on site per week.
Key Responsibilities: Manage the KYC and onboarding of clients in UK and Dubai.
Review/approve/oversee MiFID client categorisation and DFSA (Dubai) client categorisation.
Keep abreast of regulatory developments.
Assess applicability, assist with proposing and project managing solutions through to implementation in a timely manner.
Assist with project work dependent on regulatory topics and commercial business projects.
Contribute to and/or manage responses to regulatory queries/requests, consultation papers as they apply and regulatory audits.
Assist with the resolution of findings.
Work with the business units to develop a good understanding of their strategy, services and products, and promote a good compliance culture across the organisation.
Work collaboratively with Compliance colleagues sharing best practice and promoting open dialogue and communication.
Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled.
Assist the department in maintaining adequate records.
Assist with providing sufficient management information to allow the Board and Management visibility of the firm's ongoing compliance.
Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training.
When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of Gallardo Securities Take all reasonable steps to ensure appropriate confidentiality.
Assist in the drafting of the annual ICARA KEY SKILLS AND EXPERIENCE Regulatory knowledge and understanding of the financial services industry.
Understanding some generalist Compliance skills Analytical and enquiring nature, ability to solve problems Strong communications skills - verbal and written; with ability to communicate effectively across the business.
Ability to be proactive in undertaking on new tasks without direction from above