Compliance Monitoring Analysts x 2

THE COMPANY:

Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.

THE RESPONSIBILITIES:

• Conduct regular compliance monitoring activities to ensure adherence to regulatory requirements and internal policies, including those related to financial advisory, fund management, and client money protections.
• Review and assess client account and transaction activity to identify any potential compliance risks or breaches.
• Provide support in maintaining compliance with the Financial Conduct Authority (FCA) regulations and General Data Protection Regulation (GDPR).
• Assist in the monitoring of fund management processes, ensuring that all regulatory and reporting requirements are met in a timely manner.
• Collaborate with various teams to promote a culture of compliance, providing advice and guidance where necessary.
• Conduct risk assessments and report findings to senior management, recommending improvements where required.
• Assist with the preparation for regulatory audits and inspections.
• Stay updated with relevant laws, regulations, and industry trends to ensure ongoing compliance.
• Support the development and implementation of internal compliance policies and procedures.
• Assist with the training of staff members on compliance-related matters.
• Occasionally travel to other UK offices for meetings or compliance-related activities.

EXPERIENCE REQUIRED:

• Previous experience in compliance, specifically within financial advisory and fund management sectors.
• Experience with custody and clearing functions is highly beneficial.
• Familiarity with client money protection regulations and GDPR compliance is preferred.
• Strong understanding of financial regulations, particularly those pertaining to the FCA.

For further information please contact Duncan Jeffery