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Compliance Monitoring Specialist

2 months ago

London, Greater London, United Kingdom BWD Search & Selection Full time
Compliance Monitoring Specialist - Wealth Management (Remote)

We are seeking a skilled Compliance Monitoring Specialist to join our dedicated team within a leading wealth management and financial planning group. This role plays a critical part in maintaining an effective management framework while ensuring regulatory compliance and positive client outcomes.

About the Role:

You'll be part of the Compliance Monitoring team, responsible for overseeing the second line risk-based monitoring function. This is an exciting opportunity to contribute to a dynamic environment that provides tailored wealth management solutions and discretionary investment services.

Key Responsibilities:
  • Perform second-line compliance monitoring to review the effectiveness of compliance controls.
  • Assist in delivering and updating the annual compliance monitoring plan, adjusting to emerging risks.
  • Contribute to the design and execution of thematic and discovery reviews.
  • Draft comprehensive reports on findings for senior management.
  • Conduct bespoke investigations in cases of significant breaches of company procedures or FCA rules.
  • Ensure adherence to Consumer Duty regulations, supporting fair client outcomes.
Key Skills & Attributes:
  • Strong understanding of financial planning markets and UK regulations.
  • Extensive technical knowledge of the financial planning process, including products, pensions, funds, and financial instruments.
  • Excellent communication skills, both written and verbal, with a focus on clear, concise report writing.
  • Strong interpersonal and relationship-building skills with the ability to work collaboratively across teams.
  • A proactive, 'can-do' attitude with the ability to prioritise tasks and meet deadlines.
  • IT literate with proficiency in Microsoft Office (Excel, Word, PowerPoint) and internal systems/databases.
Qualifications & Experience:
  • At least 3 years of experience in a compliance monitoring role within financial planning or investment management.
  • Confident in delivering presentations and influencing at all levels.
  • Excellent organizational skills with the ability to handle multiple tasks and work under pressure.
  • High attention to detail and accuracy in all aspects of work.
  • Proven project management experience and the ability to manage change effectively.