Compliance Analyst

MERJE; Reading; On-site; GBP 55,000 - 75,000; Full time

Job summary

MERJE is seeking an experienced Compliance Monitoring Analyst in Reading to design and deliver the compliance monitoring plan across the business. You will review processes, client communications, financial promotions and complaints handling, using data to identify trends and control weaknesses.

You will build out reporting infrastructure and analytics to strengthen monitoring outputs for governance forums, producing clear MI for senior management and supporting FCA regulatory requirements.

Qualifications

• Experience delivering compliance monitoring within an FCA-regulated financial services firm.
• Knowledge of FCA requirements including conduct risk, Consumer Duty, suitability, financial promotions and complaints handling
• Ability to identify trends, root causes and document findings clearly
• Experience building or using monitoring infrastructure and reporting tools
• Proven ability to produce clear MI for senior management and governance committees

Responsibilities

• Design and deliver the compliance monitoring plan.
• Review advice processes, client communications and financial promotions.
• Analyze data to identify trends and control weaknesses.
• Build reporting infrastructure and analytics for governance forums.
• Provide data-driven MI to senior management and governance committees.

Skills

Analytical skills

MI reporting

Written communication

Governance reporting

Tools

Power BI

GRC systems

Job description

A wealth manager is hiring an experienced risk and compliance professional to lead the monitoring function, building out the monitoring infrastructure and driving data-led insight across the business.

The Role

As Compliance Monitoring Analyst, you will design and deliver the compliance monitoring plan, reviewing advice processes, client communications, financial promotions and complaints handling, using data and management information to identify trends, root causes and control weaknesses, while building out reporting infrastructure and analytics to strengthen monitoring output for governance forums.

Requirements

• Experience delivering compliance monitoring within an FCA-regulated financial services firm, ideally wealth management, financial planning or investment management
• Knowledge of FCA requirements including conduct risk, Consumer Duty, suitability, financial promotions and complaints handling
• Strong analytical skills, with the ability to review information critically, identify trends and issues, and document findings clearly
• Experience building or using monitoring infrastructure, GRC systems and/or Power BI reporting tools
• Ability to produce clear, data-driven MI and reports for senior management and governance committees
• Strong written communication skills and attention to detail