Compliance Analyst

Recordcm; Greater London; On-site; GBP 40,000 - GBP 60,000; Full time

Job summary

A leading financial services firm in London is seeking a Compliance Analyst or Senior Analyst to support their Compliance Team. You will be responsible for implementing and monitoring compliance policies, conducting compliance monitoring and KYC activities, and preparing regulatory reports. The ideal candidate will have experience in a compliance role, ideally within financial services, a strong academic background, and excellent communication skills. This position offers a competitive benefits package, including a pension scheme, medical cover, and more.

Benefits

Pension with 11% employer contribution

Private medical insurance (BUPA)

Dental insurance

Life insurance

Permanent health insurance

Medical health assessments

Salary sacrifice car scheme

Train travel season ticket loan

Subsidised gym membership

Share incentive plan (SIP)

Minimum 20 days holiday

Qualifications

• Experience in a compliance-based role, preferably in financial services.
• Understanding of UK and EU financial services regulations required.
• Motivated to incorporate artificial intelligence into compliance processes.

Responsibilities

• Implement and monitor compliance policies.
• Conduct compliance monitoring and KYC activities.
• Prepare periodic regulatory and internal reports.

Skills

Compliance monitoring

Strong academic background

Analytical skills

Excellent communication skills

IT literacy (Excel and Word)

Education

Degree level education

Job description

Position

Compliance Analyst / Senior Analyst

Compliance Purpose

An exciting opportunity for a Compliance Analyst or Senior analyst (depending on experience) to join our Compliance Team. You will support the Company and its employees to implement, monitor and maintain effective processes, procedures, systems, and controls to ensure compliance with regulatory obligations.

Department

Compliance Team

Reporting Line

Head of Compliance

Location

London

Record is a leading specialist currency and asset manager with $110.3 billion (as at 30 September 2025) in Assets Under Management Equivalent. Record’s services include currency management, sustainable finance, and asset management. Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.

Record’s offices are in London in the UK, Zürich, Hamburg, and New York.

Key Result Area

You will be responsible for implementing, maintaining and monitoring all aspects of compliance policies. The role is independent of the business activities of the firm and involves:

• Develop technical knowledge and keep technical knowledge up to date;
• Implementing policies and adhering to procedures;
• Compliance monitoring & KYC activities;
• Proactively consider compliance policies and procedures and suggest enhancements, new ways to do things (manual or using technology) and suggesting processes for evolving services;
• Periodic regulatory, client & internal report preparation, notifications and returns;
• Measures to identify and mitigate prudential, conduct and other risks to promote an environment of sound corporate governance;
• Undertaking ad-hoc investigations, thematic project work and process improvements;
• Maintaining compliance logs;
• Monitoring contractual compliance obligations.

Requirements

• Experience in a compliance-based role (preferably within the financial services industry)
• Recent experience in compliance monitoring;
• An understanding of financial services regulations in the UK and EU;
• Exposure to US regulations is desirable but not essential;
• Strong academic background. Ideally educated at degree level;
• Analytical and accurate, with strong respect for adhering to rules/regulations;
• Excellent communication skills with a high level of energy and commitment, capacity to build strong relationships, and take initiative; and willing to learn;
• Strong IT literacy with good knowledge of Excel and Word.
• Motivated to incorporate artificial intelligence into the role to improve efficiency and innovation;
• Resourceful and positive approach to problem solving;
• Excellent communication skills, both with internal and external parties;
• Pension – defined contribution scheme: 11% employer contribution plus may elect for additional personal contributions. Some cash flexibility allowed;
• Private medical (BUPA) employee cover – option to purchase cover for partner and family;
• Dental insurance – employee cover and option to purchase cover for partner and family;
• Life insurance;
• Permanent health insurance;
• Medical health assessments;
• Salary sacrifice car scheme;
• Train travel season ticket loan;
• Subsidised gym membership;
• Share incentive plan (SIP) with Record matching;
• 20 days minimum holiday, discretional additional holiday may be taken.

Record is proud to be an equal opportunities employer. for our employees to reach their full potential they need to feel valued, included and respected. this is the culture that record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.

DisabilityConfident

As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background. Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.