Compliance Analyst; Monitoring

3 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 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.

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