Compliance Monitoring Analyst

  • Location:

    West London, London

  • Sector:

    Asset Management, Compliance

  • Job type:


  • Salary:

    £45000 - £50000 per annum

  • Contact:

    Marcus Deeks

  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


Compliance Monitoring Analyst - London

Unique opportunity to join a leading Asset Manager as Compliance Monitoring Analyst in London.

As the Compliance Monitoring Analyst in London you will be responsible for supporting the Head of Compliance Monitoring in the delivery of the Compliance Monitoring Plan.

Key responsibilities include but not limited to:

  • Scope and conduct assigned thematic reviews as established by the Compliance Monitoring Plan to ensure compliance with regulatory requirements and to test adherence to internal policies and procedures
  • Hold a close out meeting
  • Produce Draft structured written reports outlining findings and remedial actions for key stakeholders to address
  • Liaise with relevant stakeholders to ensure that compliance monitoring findings are discussed and that realistic timeframes for the completion of any remedial actions are agreed
  • Ensure that reviews and reports are delivered in a timely manner and are of the expected quality
  • Record and track completion of agreed action items arising from thematic reviews
  • Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Monitoring
  • Prepare compliance reports and Management Information (MI) for distribution to relevant forums
  • Review colleague's thematic review reports for quality assurance purposes prior to review by Head of Compliance Monitoring
  • Assist other members of the Compliance Team and undertake ad-hoc compliance related projects/reviews as required
  • Assist in ensuring that departmental procedures are kept up to date

The successful Compliance Monitoring Analyst based in London will have:

  • Experience of scoping and conducting thematic reviews
  • Familiarity with FCA Handbook and regulatory frameworks
  • Knowledge of JFSC and GFSC rulebooks advantageous
  • Strong written and verbal communication skills
  • Experience gained within financial services, ideally wealth/asset management or financial planning
  • Educated to degree level and/or relevant industry qualifications desirable
  • Excellent Communication skills both written and verbal

Competitive salary circa £45-50k + excellent benefits on offer to the successful candidate.


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