Compliance Associate FTC

Charles Stanley & Co; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading financial services firm in the UK is seeking a Compliance Monitoring professional to support and improve monitoring processes. Key responsibilities include conducting trade monitoring and managing relationships across departments. Ideal candidates will have experience in UK Retail Financial Services and possess relevant professional qualifications. Strong communication skills and the ability to adapt to changing business needs are essential. This position is based in London.

Qualifications

• Experience in a Compliance role within UK Retail Financial Services.
• Knowledge of the FCA Handbook and experience in relevant sectors is a plus.
• Strong professional communication skills and ability to work collaboratively.

Responsibilities

• Support the Head of Monitoring & Testing in delivering the Compliance Monitoring Programme.
• Carry out surveillance tasks such as trade monitoring and suitability reviews.
• Maintain the monitoring issues database and assist with producing reports.
• Help improve the efficiency of monitoring processes and workflows.
• Build relationships across the business to foster a culture of compliance.

Skills

Experience in UK Retail Financial Services

Strong communication skills

Ability to manage priorities

Flexible and adaptable

Education

Professional qualifications in Wealth Management or Compliance

Job description

What you’ll do

• Support the Head of Monitoring & Testing in delivering the Compliance Monitoring Programme, including thematic reviews and front‑office monitoring.
• Carry out surveillance tasks such as trade monitoring, conflicts of interest checks, PA dealing, suitability and appropriateness reviews, and financial crime monitoring.
• Maintain our monitoring issues database and assist with producing reports for governance committees and the Board.
• Help improve the efficiency of our monitoring processes and workflows.
• Build strong relationships across the business to foster a culture of compliance.
• Collaborate with other Compliance teams (Advisory, Complaints, Governance, Financial Crime) and contribute to ad-hoc projects.

What we’re looking for

• Experience in UK Retail Financial Services in a Compliance role.
• Knowledge of the FCA Handbook; experience in Wealth Management, Investment Management, or Private Banking is a plus.
• Professional qualifications in Wealth Management or Compliance are desirable.
• Strong communication skills – clear, concise, and professional.
• Ability to manage priorities, meet deadlines, and work collaboratively.
• Flexible and adaptable to changing business needs, including occasional travel and non‑standard hours.

What we value

We believe diversity drives innovation and success. We welcome applications from people of all backgrounds, identities, and experiences. If you meet most of the criteria but not all, we still encourage you to apply – we value potential as much as experience.