Compliance Monitoring Analyst

London Permanent £50,000 - £65,000 per year
  • Growing Compliance team
  • International Wealth Management firm

About Our Client

Our client are an international Wealth Management firm who are based in London

Job Description

The Compliance Monitoring Analyst who will be based in London will be responsible for:

  • ​Compliance monitoring in accordance with regulatory and internal standards
  • Conducting reviews of trading including best execution in relation to portfolio's
  • Reviewing trades on regulated funds for compliance with requirements
  • Regular checks on portfolio's for compliance with suitability requirements
  • Reviewing PA dealing to ensure in accordance with requirements
  • ​Reviewing Financial Promotions to ensure clear, fair and not misleading
  • Undertaking reviews to ensure compliance with TCF/Consumer Duty requirements
  • Assisting with FCA returns
  • Monitoring compliance with Training and Competence requirements
  • Supporting and/or providing Compliance training to staff
  • Market Abuse Monitoring
  • Compilation of various management reports
  • General administration
  • First line escalation point for compliance queries
  • Projects and ad-hoc tasks as required by management
  • Attend meetings and prepare minutes when required
  • Prepare updates of compliance documentation
  • Assist with responses to complaints
  • Deal with responses to due diligence requests on the Company
  • Such other tasks and projects as may reasonably be require

The Successful Applicant

The Compliance Monitoring Analyst who will be based in London should have the following skills:

  • Prior financial services experience, preferably in an investment or platform-based environment
  • At least 5 years' experience in compliance, ideally within areas Investment compliance and general compliance experience
  • A good understanding of FCA rules and their application
  • Knowledge of Market Abuse Regulation
  • Knowledge of retail investments
  • Proficiency in Microsoft Office (Excel/Word)
  • Achieved at least A-levels

What's on Offer

Salary 55,000 -65,000

Hybrid working


Discretionary Bonus

Karen O'Neill
Quote job ref
Phone number
+44 207 645 1432

Job summary

Job function
Compliance Monitoring
Financial Services
Contract type
Consultant name
Karen O'Neill
Consultant phone
+44 207 645 1432
Job reference