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Compliance Monitoring Specialist

2 months ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom BWD Search & Selection Full time
Compliance Monitoring Specialist

BWD Search & Selection is 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.