Compliance Monitoring Analyst Wealth Management

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:

1. Execute compliance monitoring testing independently and collaboratively with the Head of Compliance Monitoring.
2. Manage your workload against strict deadlines, ensuring timely reporting and consistent delivery across all scheduled reviews
3. 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
4. Gather and analyse data, documentation and management information to support the broader testing programme
5. Produce clear, well-reasoned findings and recommendations, engaging with stakeholders to agree responses and presenting outcomes as part of formal monitoring plan reporting
6. Own the end-to-end tracking of all remediation actions arising from reviews, proactively following up to ensure timely resolution
7. 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.

The CLARC Guarantee - we will never send your CV to a client without your prior express permission, so your details will always remain confidential. Please note that, due to the volume of applications we receive, we are unable to respond to every applicant individually. If your application is unsuccessful on this occasion, your details will remain on file and be considered for other suitable opportunities.