Compliance Analyst; Monitoring

4 weeks ago

City Of London, United Kingdom Raymond James Investment Services Full time

About the Role: We are seeking a dedicated and detail-oriented Compliance Analyst to join our Compliance team in London. This role will focus on working with the Monitoring & Testing team to ensure adherence to regulatory standards and internal policies.


Key Responsibilities:

  • Conduct monitoring reviews of front office teams and other business areas according to the Compliance Monitoring Programme schedule.
  • Perform surveillance tasks, including trade surveillance monitoring, conflicts of interest, PA Dealing, suitability and appropriateness, and financial crime monitoring.
  • Maintain the database of monitoring issues and assist in producing Management Information for governance committees and the Board.
  • Support Surveillance routines and provide assistance to other Compliance teams, such as Advisory & Complaints, Financial Crime, and Compliance Governance.
  • Undertake ad-hoc projects as required.


About You:

  • Previous experience in UK Retail Financial Services is preferred.
  • A background in Wealth Management, Investment Management, or Private Banking Monitoring Compliance is advantageous.
  • Basic knowledge of the FCA handbook.
  • Professional qualifications in Wealth Management and/or Compliance are preferred.
  • Strong team player with a professional attitude.
  • Demonstrates thoroughness and accuracy in handling tasks.
  • Excellent communication skills, both verbal and written.
  • Ability to balance priorities and meet deadlines for individual and team tasks.
  • Committed to building excellent business practices and accountability for results.
  • Up-to-date technical knowledge relevant to the role, including systems and processes.
  • Flexibility to work unusual hours when required and travel around the branch network.
  • Promotes a compliance culture and upholds the highest standards of professional conduct.


About us: Raymond James Investment Services is a wealth management firm focused on providing trusted advice and tailored, personalised investment services. We believe if we do what’s right for clients, we’ll help them achieve success while also realising our own. Our parent company, Raymond James Financial, has been doing the same in the US for over six decades. Raymond James is listed on the NYSE, is a Fortune 500 company, and is included in the S&P 500.

If you are passionate about compliance and eager to contribute to a dynamic team, we want to hear from you. Apply now to join our team and help us maintain the highest standards of regulatory compliance.


At Raymond James we honour, value and respect the uniqueness, experiences, and backgrounds of all our people. When individuals bring their best self to work, our organisation, clients, and communities all thrive. This is a key part of our people-first culture. We are an equal opportunities employer, and we make all employment decisions purely on the basis of merit and business needs.

  • Compliance Monitoring Analyst

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

  • Compliance Monitoring Analyst

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: . Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis. THE RESPONSIBILITIES: Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable...

  • Compliance Monitoring Analyst

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

  • Compliance Monitoring Analyst

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:.Our client is a leading trading firm going through an exciting period of growth and expansion. They are looking to hire a Compliance Monitoring Analyst on a permanent basis.THE RESPONSIBILITIES:Conducting second line compliance monitoring and testing to ensure that the firm is compliant with all applicable regulations, policies, and...

  • Compliance Risk Analyst

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    **Job Title:** Compliance Monitoring Analyst**Company:** Compliance Professionals**Job Summary:** We are seeking a Compliance Monitoring Analyst to join our team. The ideal candidate will have experience in second line compliance monitoring and a strong understanding of the global regulatory framework.Key Responsibilities:Conducting second line compliance...

  • Compliance Monitoring Analyst

    3 weeks ago

    City of London, United Kingdom Page Personnel Full time

    As a Compliance Monitoring Analyst, you'll play a key role in supporting the Compliance Monitoring Team in the implementation and execution of the compliance monitoring program. You'll conduct assessments, identify potential risks, and ensure our operations align with regulatory requirements. Client Details My client is a dynamic and rapidly growing...

  • Compliance Analyst; Monitoring

    4 weeks ago

    City Of London, UK, Central London, United Kingdom Raymond James Investment Services Full time

    About the Role: We are seeking a dedicated and detail-oriented Compliance Analyst to join our Compliance team in London. This role will focus on working with the Monitoring & Testing team to ensure adherence to regulatory standards and internal policies.Key Responsibilities:Conduct monitoring reviews of front office teams and other business areas according...

  • Compliance Analyst; Monitoring

    4 weeks ago

    City of London, Greater London, United Kingdom Raymond James Investment Services Full time

    About the Role: We are seeking a dedicated and detail-oriented Compliance Analyst to join our Compliance team in London. This role will focus on working with the Monitoring & Testing team to ensure adherence to regulatory standards and internal policies. Key Responsibilities: Conduct monitoring reviews of front office teams and other business areas...

  • Compliance Monitoring Officer

    6 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. **THE RESPONSIBILITIES**: - Responsible for carrying out monitoring reviews to determine whether key...

  • Compliance Monitoring Analyst

    2 months ago

    London, United Kingdom Bruin Full time

    Our client, a well established investment manager, is looking to bring on board an experienced Compliance Monitoring Analyst who will be responsible for taking ownership of the CMP. Requirements:3-5 years experience with Compliance Monitoring and Thematic ReviewsExperience working within an Investment Management firmExcellent communication skills (both...

  • Compliance Monitoring Analyst

    1 month ago

    london, United Kingdom Bruin Full time

    Our client, a well established investment manager, is looking to bring on board an experienced Compliance Monitoring Analyst who will be responsible for taking ownership of the CMP. Requirements: 3-5 years experience with Compliance Monitoring and Thematic Reviews Experience working within an Investment Management firm Excellent communication skills (both...

  • Compliance Monitoring Analyst

    4 weeks ago

    London, United Kingdom Bruin Full time

    Job Description Our client, a well established investment manager, is looking to bring on board an experienced Compliance Monitoring Analyst who will be responsible for taking ownership of the CMP. Requirements: 3-5 years experience with Compliance Monitoring and Thematic Reviews Experience working within an Investment Management firm Excellent...

  • Compliance Monitoring Specialist

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Compliance Risk Analyst

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are looking for a skilled Risk and Compliance Analyst to support our team at AJ Fox Compliance in ensuring compliance with relevant regulations. This is a hybrid role with three days based in the office and two days working from home.The successful candidate will have 1 year of experience working in professional services, including at least 6 months of...

  • Compliance Analyst

    5 days ago

    City of London, United Kingdom Intec Select Full time

    Job Description Compliance Analyst – FCA Focused An excellent opportunity has arisen with a global financial services organisation for a Compliance Analyst to oversee the organization’s adherence to FCA regulations and other compliance frameworks, including AML, Anti-Bribery and Corruption (ABC), sanctions, and data protection laws. Role and...

  • Compliance Analyst

    1 month ago

    London, Greater London, United Kingdom Compliance Wise Full time

    Compliance Wise is seeking a highly skilled Compliance Analyst to join our team in the Americas region. As a key member of our Compliance team, you will play a critical role in supporting our global operations and ensuring that we maintain the highest standards of compliance and risk management.Duties and ResponsibilitiesAssess AML/CTF risks and determine...

  • Compliance Analyst; Monitoring

    4 weeks ago

    The City, United Kingdom Raymond James Investment Services Full time

    About the Role: We are seeking a dedicated and detail-oriented Compliance Analyst to join our Compliance team in London. This role will focus on working with the Monitoring & Testing team to ensure adherence to regulatory standards and internal policies.Key Responsibilities:Conduct monitoring reviews of front office teams and other business areas according...

  • Risk & Compliance Analyst

    4 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...

  • Risk & Compliance Analyst

    1 month ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...

  • Risk & Compliance Analyst

    2 months ago

    London,, UK, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a well-respected London law firm who are looking for a Risk and Compliance Analyst to join their team! This is a hybrid role with three days based in the office and two days working from home. This is a generalist role that involves supporting the Risk and Compliance Manager and the wider team to ensure compliance with relevant...