Compliance Analyst

Compliance Monitoring

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

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