Compliance Monitoring Analysts x 2

Compliance Professionals; Greater London; On-site; GBP 40,000 - 80,000; Full time

Job summary

An expanding wealth management firm is seeking a compliance professional to ensure regulatory adherence and promote a culture of compliance. In this role, you will conduct compliance monitoring, assess client activities for risks, and support the development of internal policies. You will collaborate with various teams to maintain compliance with FCA regulations and GDPR, while also assisting in preparing for audits. This is a fantastic opportunity to contribute to a dynamic financial services environment and grow your career in compliance.

Qualifications

• Previous experience in compliance within financial advisory and fund management sectors.
• Strong understanding of FCA regulations and client money protection.

Responsibilities

• Conduct compliance monitoring and ensure adherence to regulatory requirements.
• Review client account activities to identify compliance risks.
• Assist with regulatory audits and staff training on compliance.

Skills

Compliance Monitoring

Risk Assessment

Financial Regulations Knowledge

Client Money Protection

GDPR Compliance

Job description

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Compliance Professionals provided pay range

This range is provided by Compliance Professionals. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

THE COMPANY:

Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

• Conduct regular compliance monitoring activities to ensure adherence to regulatory requirements and internal policies, including those related to financial advisory, fund management, and client money protections.
• Review and assess client account and transaction activity to identify any potential compliance risks or breaches.
• Provide support in maintaining compliance with the Financial Conduct Authority (FCA) regulations and General Data Protection Regulation (GDPR).
• Assist in the monitoring of fund management processes, ensuring that all regulatory and reporting requirements are met in a timely manner.
• Collaborate with various teams to promote a culture of compliance, providing advice and guidance where necessary.
• Conduct risk assessments and report findings to senior management, recommending improvements where required.
• Assist with the preparation for regulatory audits and inspections.
• Stay updated with relevant laws, regulations, and industry trends to ensure ongoing compliance.
• Support the development and implementation of internal compliance policies and procedures.
• Assist with the training of staff members on compliance-related matters.
• Occasionally travel to other UK offices for meetings or compliance-related activities.

EXPERIENCE REQUIRED:

• Previous experience in compliance, specifically within financial advisory and fund management sectors.
• Experience with custody and clearing functions is highly beneficial.
• Familiarity with client money protection regulations and GDPR compliance is preferred.
• Strong understanding of financial regulations, particularly those pertaining to the FCA.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance

Industries

Investment Management and Financial Services