Compliance Analyst (Graduate)

7IM; City Of London; On-site; GBP 30,000 - 40,000; Full time

Job summary

A leading financial services firm is seeking an entry-level Compliance Advisory team member. The role involves supporting compliance activities, monitoring regulatory developments, and assisting in the administration of compliance systems. Training will be provided, making it an excellent opportunity for those eager to learn and grow in the compliance field.

Qualifications

• Basic understanding of UK retail financial services.
• Awareness of financial advisers and investment platforms.

Responsibilities

• Support compliance systems and review financial promotions.
• Monitor regulatory publications and prepare governance packs.

Skills

Communication

Attention to Detail

Time Management

Proactivity

Tools

Microsoft Office

SharePoint

Job description

About The Role

Purpose

This entry-level position supports the Compliance Advisory team in delivering core compliance functions across the 7IM Group. The role will assist with the administration and oversight of key compliance activities, including employee compliance monitoring, regulatory horizon scanning, financial promotion reviews, and responding to day-to-day compliance queries. The successful candidate will gain broad exposure to regulatory compliance within a fast-paced financial services environment, contributing to the effective management of regulatory risk and the promotion of a strong compliance culture.

Training will be provided on all tasks with initial tasks being primarily administration in support of two senior team members and moving on to more complex activities as the role develops.

Responsibilities

• Support the maintenance of compliance systems, including reviewing alerts and administering user access within the STAR compliance tool
• Assist in the review of financial promotions to ensure accuracy and regulatory compliance
• Monitor and summarise regulatory publications and developments
• Help prepare governance and committee packs using Microsoft PowerPoint
• Maintain accurate records by filing emails and documents appropriately and ensuring SharePoint folders are clearly named and well organised
  
  

About You

Skills

• Strong written and verbal communication skills
• Proficient in Microsoft Office
• High level of accuracy and attention to detail
• Organised with good time management and the ability to prioritise effectively
• Enthusiastic and eager to learn with a proactive mindset
  
  

Knowledge

• Basic understanding of the UK retail financial services industry
• Awareness of the role of financial advisers, investment platforms, and investment funds
• Awareness of the regulatory environment and the role of the Financial Conduct Authority (FCA)
• Interest in financial services regulation and a desire to develop compliance knowledge further
  
  

Other Relevant Information

• Enthusiastic and keen to use initiative
• Able to display an understanding of key compliance and risk principles
• Team player with understanding of key current and forthcoming regulatory developments.