We are working with a large wealth management business looking to hire a Compliance Monitoring Analyst. The role will be part of the close-knit Compliance Monitoring Team which is part of the broader Regulatory Compliance team.
Candidates will have a strong grounding in Compliance Monitoring, ideally from within a similar Wealth or Asset Management business.
Job Requirements:
- Execute compliance monitoring testing independently and collaboratively with the Head of Compliance Monitoring.
- Manage your workload against strict deadlines, ensuring timely reporting and consistent delivery across all scheduled reviews
- Continuously drive improvements to test scripts and methodologies, drawing on regulatory developments, past results, system changes, new business activity, staff movement and customer complaint trends
- Gather and analyse data, documentation and management information to support the broader testing programme
- Produce clear, well-reasoned findings and recommendations, engaging with stakeholders to agree responses and presenting outcomes as part of formal monitoring plan reporting
- Own the end-to-end tracking of all remediation actions arising from reviews, proactively following up to ensure timely resolution
- Provide flexible, ad-hoc support across the wider compliance team as business needs demand
Unless otherwise stated, candidates must have the right to work in the UK.
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