Compliance Monitoring Associate, Wealth Management

2 days ago


London, United Kingdom Hays Full time

International wealth and fund/asset management firm fostering a balanced working culture seeks a Compliance Monitoring Associate. Reporting to the Senior Compliance Manager, the successful candidate will assist in the delivery of the compliance monitoring programme to identify control weaknesses, determine causes and propose solutions. This will require you to agree action plans with the business and follow up to ensure risks are mitigated. Furthermore, the job holder will assist with the delivery of MI and information to the Audit Risk and Compliance Committee and Board. Candidates are sought with at least 2 years' compliance monitoring experience gained preferably in the wealth management/retail financial advice sector. Prior coverage of either suitability of advice and/or CASS would also be beneficial, though not essential.

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