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Compliance Associate

2 months ago

London, UK, United Kingdom Bruin Full time

Compliance Monitoring Analyst


Our client – a reputable Wealth Manager – is looking for a Compliance Monitoring Analyst to join the Compliance Monitoring team in London. The role will have great autonomy and will be perfect for a self-starter competent in carrying out thematic reviews – preferably within an Wealth manager or another financial services institution. With opportunity to liaise across compliance, risk and legal, the candidate will be exposed to stakeholder engagement and will support the Head of Compliance Monitoring with other duties across Compliance.


Role and responsibilities:

  • Assist in the execution of testing as part of the Compliance Monitoring Plan.
  • Identify need and carry out thematic reviews alongside the Head of Compliance Monitoring.
  • Regular testing, thematic and ad-hoc reviews to be carried out to ensure the business complies with regulation and legislation.
  • Suggest improvements to the design and content of test scripts.
  • Report writing of relevant findings/ recommendations.
  • Attend, record and circulate minutes of the monthly Compliance meetings.

About you:

  • Good understanding of Wealth Management business.
  • Good knowledge of the FCA Handbook and other regulations.
  • Ability to keep up to date with changing regulatory requirements