Compliance Analyst

About this role

Arma Partners acts as trusted advisors to Digital Economy leaders throughout their entire corporate lifecycle, from raising private capital for fast growing disrupters and founder-led businesses to orchestrating complex cross-border M&A deals for private equity investors and global large-cap public companies.

At Arma Partners, we combine the collegial culture and hands-on exposure of a boutique advisory firm with the global reach and deal execution excellence of a bulge-bracket bank. Every day we advise undisputed leaders of the Digital Economy on landmark transactions that will transform the world we all live in.

Our success and track record as a firm relies on the excellence, dedication, and commitment of our talented team members. We value independent and creative thinking, outstanding communication skills, exceptional work ethic, genuine team players and leadership potential.

Our over 100 strong banking team works alongside a dedicated support team consisting of Finance, Legal & Compliance, HR, IT and Office Management professionals.

Arma Partners is authorised and regulated by the Financial Conduct Authority.

This is a unique opportunity for a skilled, confident and proactive Compliance Analyst to join Arma Partners. This person will be responsible for assisting with the day-to-day compliance for the firm. With at least three years’ experience, the technical competency of the successful candidate is key to their credibility, they will have sound judgment and the ability to respond quickly and effectively if compliance issues arise. The successful candidate should also have a strong knowledge of the customer due diligence/AML requirements and compliance monitoring applicable to the business.

Duties & Accountabilities

• Assisting with the day-to-day running of the Firm’s compliance matters, including helping to prepare compliance positions for review and approval by the Partner holding SMF16 and SMF17
• Keeping apprised of the FCA Rules and other applicable regulatory changes that apply to the Firm and implementing such changes as applicable
• Assist with preparing reports to the Firm’s partners, Risk Committee, governing body and Group compliance on compliance issues
• Providing advice and respond to regulatory questions from the Firm’s partners and staff
• Undertaking the Compliance Monitoring Programme and report on issues identified
• Carrying out client take-on, including Client Categorisation, customer and enhanced due diligence on clients and counterparties, ongoing monitoring and periodic KYC refresh
• Dealing with customer complaints, in accordance with FCA’s Dispute Resolution Manual (DISP) requirements (as applicable)
• General compliance duties, including the maintenance of the Firm’s compliance manuals and registers, conflicts, insider and restricted lists, personal account dealing, the STOR framework, financial promotions, gifts & benefits, FCA Approved Person applications and the assigning and tracking of compliance training
• Assisting with regulatory horizon scanning
• Assisting with the annual FCA Certification process

AML Related Responsibilities

• Having oversight of the Firm’s compliance with the FCA Rules on systems and controls against money laundering, including the effectiveness of the Firm’s anti-money laundering systems and controls including the Money Laundering Risk Assessment
• Reporting regularly to the Firm’s Compliance Officer as and when necessary
• Assisting and maintaining a training programme for all relevant members of staff appropriate to the financial crime risk posed to the Firm including anti-bribery
• Providing assistance in respect of any Suspicious Transaction Reports or Suspicious Activity Reports (SARs) and consent requests, including internal assessment of SARs and making reports to the National Crime Agency when appropriate
• Monitoring the day-to-day operation of anti-money laundering policies and procedures and ensuring that required records are maintained
• Assisting with the preparation and submission of a formal report to the Firm’s senior management at least annually

Person Specification

• The ideal candidate is likely to come from the UK financial services sector where they have worked in a compliance function and had exposure to KYC/customer due diligence and AML related matters
• Able to confidently lead on the Firm’s day-to-day compliance matters
• Commercial and pragmatic candidate, confident in ability to provide sound compliance advice
• Track record of influencing and driving best practice in compliance to add value; must be comfortable dealing with complex compliance issues
• An ability to prioritise, and apply the appropriate level of importance to a variety of compliance issues
• Sound knowledge and understanding of the European and international regulatory frameworks
• Excellent communication and presentation skills, and an ability to explain and discuss complex compliance concepts, as well as persuade, influence and empathise in order to achieve positive and appropriate outcomes for the Firm
• Team player that is also able to work autonomously in an entrepreneurial, fast paced and highly active environment
• Organised and detail-oriented

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